On average an RIA is examined every 5-7 years. Join us to hear directly from the panelists who have recently undergone an SEC examination. Find out what they wish they knew before the exam, what went well, and what they would have done differently.
The panel discussed:
- Sequence and timeline
- Document requests...and requests, and requests
- Management and staff interviews
- Key takeaways from the exam
- What the SEC didn’t ask
- Addressing staff findings