SEC Exams

2011 Webinar - SEC Examinations, Inspections, and Enforcement for Investment Advisers

2011 Webinar - SEC Examinations, Inspections, and Enforcement for Investment Advisers
Thursday, April 21, 2011, 1:00 pm - 2:15 pm EDT
Presenter: Richard D. Marshall, Partner, Ropes and Gray and David Bergers, Director, SEC's Boston Regional Office
Moderator: Paul D. Glenn, Special Counsel, IAA (Biographies)

Join us for an up-to-the-second discussion of the latest developments in SEC inspections and enforcement as it relates to investment advisers.

We will discuss preparations for SEC inspections, best practices in responding to SEC inquiries, and actions to consider in the event of any potential enforcement actions. Through the web cast you will be able to ask questions of industry experts.

Registration:

Registration for this event is closed. To purchase a recording of this webinar, please complete and return a 2011 webinar recording payment form. If you have any questions, please contact the IAA events team at IAAEvents@investmentadviser.org or (202) 293-4222.