SEC Examinations of Investment Advisers for NRS Webinar 2

SEC Examinations of Investment Advisers for NRS Webinar

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Baker Hostetler – Attorneys Richard Levin, Jonathan Forman, and Aaron O’Brien presented “SEC Examinations for Investment Advisers” at a webinar hosted by National Regulatory Services (NRS) and the Investment Advisers Association (IAA). Participants on the webinar included more than 60 senior legal and compliance professionals from leading mutual funds and hedge funds nationwide. The webinar was part of the NRS Investment Adviser Certified Compliance Professional (IACCP) program, co-sponsored by the IAA, a professional education program granting the IACCP designation. Levin, Forman, and O’Brien provided guidance on recent developments and initiatives with respect to SEC examinations and tips on how to prepare for and successfully manage an examination.

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