SEC Exam Preparation for Investment Advisors

John Clark*

VP and Deputy CCO
Merrill Lynch Trust Company, FSB
Pennington, New Jersey

*Please note that our Speaker has changed for this session

Please join John for his primer on SEC Investment Adviser Exams/Inspections. John will cover:

Overview of the IA Act of '40 - key rules, provisions etc.
Brief history and description of the types and nature of SEC Exams, Inspections etc.
Discuss various SEC Exam preparation/ facilitation tips and thoughts
Discuss "hot" or current issues relative to IA exams and recent SEC developments in this area
Discuss some of the challenges faced when providing fiduciary/trust activities as an RIA

Speaker biography not available

PowerPoint presentation not available

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