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Dec 10, 2012

Preparing for Your SEC Audit: An Investment Adviser's Survival Guide

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Bloomberg BNA's Securities Regulation & Law Report published an article titled "Preparing for Your SEC Audit: An Investment Adviser's Survival Guide" by Shearman & Sterling partner Nathan J. Greene (New York-Investment Funds) on December 10, 2012.

In the article, Mr. Greene provides an overview of the SEC's inspection program, including the mechanics of a typical examination and the issues on which SEC examiners are likely to focus their attention. The article includes practice tips on compliance policies, dialogue with the SEC, records management tools and other issues of interest to chief compliance officers and other investment adviser compliance personnel.

View article, Preparing for Your SEC Audit: An Investment Adviser's Survival Guide

Authors and Contributors

Nathan Greene

Partner

Investment Funds

+1 212 848 4668

+1 212 848 4668

New York