Recent Trends in SEC Examinations

May 25, 2023 from 1:00 PM to 2:00 PM (ET)

A conversation on SEC examinations – both from the Division of Examinations and Division of Enforcement – including current trends, how to handle and respond to requests and deficiency letters, and how to avoid an enforcement referral.

If you have questions about this webinar or need help registering, please contact Nora Iffaf at nora.iffaf@investmentadviser.org.

Webinar Speakers

Michael S. Caccese is K&L Gates’ chairman and also serves as practice area leader of the asset management and investment funds practice, focused on investment management, including mutual funds, closed-end funds, registered fund of hedge funds, hedge funds and separately managed accounts. He advises on investment management and broker-dealer regulatory compliance, structuring investment management professional team “lift-outs” and “placement,” “soft dollar” compliance, investment performance, and GIPS. He is also leading practitioner on investment advisor and broker-dealer advertisement and marketing materials, laws and regulations, and investment performance calculations and presentations, along with other investment management industry standards of practice. Caccese received his B.A., from Pennsylvania State University and his J.D., from Temple University Beasley School of Law.

Neil Smith is a partner in the K&L Gates’ Boston office, where he is one of the leaders of the firm’s Investigations, Enforcement, and White Collar practice group. His practice focuses on government investigations, securities enforcement matters, internal investigations, and white-collar defense representations. He has extensive experience advising clients in global investigations involving potential violations of the Foreign Corrupt Practices Act and other anti-corruption laws. Prior to joining K&L Gates, Smith served as senior counsel in the Enforcement Division of the SEC, where he was a member of the SEC’s Foreign Corrupt Practices Act specialized unit. He received his B.A. from Dartmouth College and his J.D. from Boston College Law School.

Sanjay Lamba is associate general counsel at the IAA. Prior to joining the IAA, Lamba worked at SEC headquarters for 10 years, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations in 2010. Prior to the SEC, he was in private practice advising registered investment adviser and mutual fund clients on a wide range of matters arising under the federal securities laws. He received his B.S. degree in Finance from George Mason University and his law degree from Boston University.

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