What to Expect in a Regulatory Exam

This session seeks to inform registered investment advisers about what they can expect to encounter in a regulatory examination and how to respond accordingly. Based on published guidance and the personal experience of the attorneys presenting, this session will also identify recent examination priorities and offer options to limit regulatory risk through appropriate disclosure and the implementation of tailored compliance policies and procedures.

Learning Objectives:

1. Understand what a registered investment adviser is commonly expected to produce during a regulatory examination
2. Prepare yourself to respond to common examination requests in a way that will be well-received by the examiners
3. Learn how to avoid costly repercussions of regulatory exams by proactively identifying issues and taking effective action