The phone rings and the caller ID pops up with US Securities and Exch… You swallow hard. They are coming. What now? One thing a private fund manager can do to smoothly take the SEC through an exam is to have an introductory presentation when they walk in the door. The SEC examiners will have … Read more »
Tag: Introductory presentation
Create an Introduction for the SEC
The chances are greater than ever that the Securities and Exchange Commission will show up in your lobby. Be prepared and have an introductory presentation for them. The SEC’s Office of Compliance Inspections and Examinations is continuing on its presence exam initiative. Those exams are shorter which means the examiners can get to more fund … Read more »