SEC Audits – Expect the Unexpected

posted in: SEC Examinations | 0

As most of you know (and dread) the SEC sends out a document request list about two weeks prior to the on-site portion of the audit. However, be prepared to provide other documents on the fly. For example, examiners have been known to request changes made to the adviser’s web site for the past 12 months. In light of this, you should make sure that your web provider can provide this information quickly.

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