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You are here: Newly-Registered Investment Advisers to Get SEC "Presence Exams"

Newly-Registered Investment Advisers to Get SEC "Presence Exams"

CrowellMoringLogoSEC Accelerates Examination of Newly-Registered Investment Funds

Crowell & Moring
February 21, 2014
1 Page

LathamWatkinsLogoSEC Presence Exams - Field Observations

Latham & Watkins
August 22, 2013
5 pages

BakerMcKenzieLogoPreparing for Your First SEC Audit

Baker & McKenzie
November 6, 2012
4 pages

PepperHamiltonLogoCaution Advised for Newly Registered Advisers

Pepper Hamilton
October 18, 2012
4 pages