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Preparing for and Managing an SEC Examination of a Registered Investment Adviser  

Author:  Kelley A. Howes.

Source: Volume 54, Number 17, October 1 2021 , pp.205-209(5)

Review of Securities & Commodities Regulation

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The examination of investment advisers continues to be an important program for the SEC’s Division of Examinations. In this article the author outlines the types of examinations the Division conducts and its 2021 examination priorities. She then provides recommendations how to prepare for an examination, handling the request, and managing the examination. She adds notes on exit interviews and examination summary letters, and concludes with a reminder of the importance of a culture of compliance.

Keywords: National Exam Program (“NEP”); NEP Examination Priorities

Affiliations:  1: Morrison & Foerster LLP.

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