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How to Prepare and Manage an SEC Examination

April 22, 2009 - April 24, 2009

ACA Spring 2009 Compliance Conference

Sutherland Partner Brian L. Rubin is speaking the ACA Spring 2009 Compliance Conference, April 22-24, 2009, in Las Vegas, Nevada. Brian is part of a panel on "How to Prepare and Manage an SEC Examination." The discussion will include: Standardized SEC Request List; Types of SEC Examinations; Gathering Books and Records; Surviving an SEC Interview; and Deficiency Letters vs. Enforcement.

The ACA Compliance Group is a full-service compliance consulting firm that is committed to offering regulatory compliance and GIPS verification services designed to satisfy the needs of investment advisers, private funds, investment companies and broker-dealers.

For more information and to register for this event, click here.

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