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Building a Successful SEC Exam Strategy

April 26, 2009 - April 29, 2009

National Regulatory Services (NRS) Annual Spring Compliance Conference

Sutherland Partner Brian L. Rubin is speaking at the National Regulatory Services (NRS) Annual Spring Compliance Conference, April 26-29, 2009, at the Hyatt Regency Grand Cypress in Orlando, Florida.  Brian is presenting "Building a Successful SEC Exam Strategy." A successful SEC Examination is the goal of every CCO.  A good outcome is not an accident – it involves a plan, firm-wide preparation, document delivery, understanding SEC concerns and objectives, and excellent management. This session will help attendees understand the process from the perspectives of a former SEC examiner, a CCO exam veteran and a consultant who has conducted numerous IA mock audits. Attendees will leave this workshop with invaluable recommendations and insights and an enhanced confidence to handle the inspection to come.

NRS, the pioneer in designing and offering compliance conferences, has a proven track record that spans almost a quarter century. This acclaimed investment adviser and broker-dealer conference, now in its 24th year, is regarded by many as the best regulatory compliance conference for the quality of the speakers and practical information conveyed. Recognized regulatory, legal and industry experts will provide real-time information about regulatory developments, emerging compliance trends and the SEC focus. A new segment of the conference will include a series of Compliance Forums that afford CCOs a rare opportunity to engage in a thoughtful dialogue with their peers and expert group leaders about real-world best practices, risk management and problem resolution in a difficult environment, with reference to specific operational and compliance areas. This conference offers CPE, CFP, CLE and IACCPSM credits.

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

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