Vedder Price

Vedder Thinking | Events Deborah Bielicke Eades to Present on SEC Examinations at NRS Webinar

Webinar

When

August 6, 2013

Deborah Bielicke Eades, a Shareholder and member of the firm's Investment Services group, will present at the National Regulatory Services' (NRS) webinar “SEC Examinations for Investment Companies” on Tuesday, August 6, 2013. This webinar will discuss how the enforcement and examination culture has changed at the SEC and how investment companies can prepare for SEC exams in this changing environment. Topics to be addressed include:

  • SEC’s use of data mining
  • More surprise examinations
  • Corrective Action Reviews
  • More rigorous pre-exam due diligence and aggressive examinations
  • Questions about compliance budgets and cost-cutting
  • Hiring more experienced examiners with special expertise and providing more training
  • Steps firms can take before, during and after an exam to improve exam outcomes

To learn more about this webinar, please click here.




Professionals