We have devised a methodical approach to preparing for and navigating any SEC examination.
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.
Kroll 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, Managing Director at Kroll, on our mock exam process and why mock exams are essential for investment advisers.