The General Counsels, Chief Compliance Officers and the compliance staff members of many registered investment advisers can soon expect the stressful experience of a U.S. Securities and Exchange Commission (“SEC”) examination.
Duff & Phelps has identified the key focus areas and best practices for advisers to address prior to an examination to most effectively obtain a positive outcome. Based on our experts’ extensive industry experience and having successfully assisted with numerous SEC examinations throughout their careers, we have devised a methodical approach to preparing for and navigating any SEC examination.
Hear insights from Chris Lombardy, Head of U.S. Compliance Consulting at Duff & Phelps, on our mock exam process and why mock exams are essential for investment advisers.