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SEC Examinations of Investment Advisers – Are You Ready?

July 13, 2010


The New York Regional Office of the Securities and Exchange Commission (SEC) is notifying advisers in the New York region (that have not yet been examined) of its intent to conduct examinations covering, among other things, organizational structure, affiliates, compliance programs, risk management and internal controls. It is critical for New York and New Jersey advisers to understand and effectively prepare management and staff for what the examination process entails to encourage a positive outcome.

On July 13, 2010, Clifford E. Kirsch, Michael B. Koffler and Brian L. Rubin, partners in Sutherland's Financial Services and Securities Litigation practices, are leading a discussion, in the firm’s New York office, on this SEC development and the impact on your organization, including:

  • How to identify and assess your firm's risks and the importance of instituting a risk-management system;
  • How to perform compliance reviews and testing;
  • An overview of the types of SEC examinations, including the steps involved; and
  • Tips and tools to assist your firm during an SEC on-site examination.

In addition, the discussion will focus on other important topics, including the financial services regulatory reform legislation and what it will mean for advisers.

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Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

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Videocast: DOL Fiduciary Rule Litigation Impacts
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