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The weekly news source for investment management legal and compliance professionals

News April 24, 2017 Issue

Examiners Coming? Here’s What Not to Do

It’s stressful enough to go through an SEC examination, without adding fuel to the fire by doing things that only make deficiencies or a referral to the Division of Enforcement more likely. Yet it is not uncommon for advisory firm employees to do just that, with actions ranging from merely embarrassing to self-incriminating. Guard against that danger by making sure your exam preparations cover not only how employees should interact with examiners, but how they shouldn’t.

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