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Jun 11, 2013

SEC Compliance Program Annual Reviews: A Guide for Newly Registered Advisers

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Bloomberg BNA's Securities Regulation & Law Report published an article titled "SEC Compliance Program Annual Reviews: A Guide for Newly Registered Advisers" by Shearman & Sterling partner Nathan J. Greene (New York-Investment Funds) on June 10, 2013.

Many newly registered investment advisers will need to complete their first annual compliance review this year. This article describes SEC requirements regarding annual reviews of compliance programs and, in particular, covers who should conduct the review, planning and documenting the review, reporting review findings and responding to problematic conduct identified by the review.

View article, SEC Compliance Program Annual Reviews: A Guide for Newly Registered Advisers

Authors and Contributors

Nathan Greene

Partner

Investment Funds

+1 212 848 4668

+1 212 848 4668

New York