KNOWLEDGE CENTER

Knowledge Center Archive

Dec
15
2008

An SEC Primer: Steps Towards Improving the Outcome

By SEI Knowledge Partnership with Timothy W. Levin, Partner, Morgan, Lewis & Bockius LLP

White Paper: An SEC Exam Primer: Steps Toward Improving the Outcome (PDF, 9 pages, 250KB)

Presentation: Hot Compliance Topics: Building on Your Annual Review Program / Surviving an SEC Exam (PDF, 31 pages, 567KB)

  • What types of SEC exams are you likely to face?
  • How does the SEC determine who will be examined?
  • What are the best ways to prepare?

If you are a registered mutual fund adviser, there is sure to be an SEC examination in your future. But with all the changes that have occurred in the SEC’s regulations, exam methodologies and priorities, it’s hard to know what to expect or where the pitfalls might lie. At a recent SEI Web seminar, compliance experts offered their latest intelligence and updated advice concerning the examination process.