AIMA Fund Manager Briefing: Navigating SEC Examination Challenges: From Findings to Fixes
This briefing is fully booked, please email [email protected] to join the waitlist
Join AIMA and RQC Group for an in-depth session that will explore common challenges and key lessons learned from SEC examinations. This informative session will delve into the findings from recent reviews of fund managers, drawing attention to frequently identified deficiencies and the practical steps managers have taken to address them effectively.
Throughout the discussion, speakers will highlight practical examples and provide context on how these issues have emerged, why they matter, and the regulatory expectations surrounding them. Insights will be shared regarding best practices that firms are adopting to strengthen their compliance monitoring programs, reduce risk, and prepare more thoroughly for future examinations.
Speakers:
- Allison Gill, Managing Director, RQC Group
- Camilla Cater, Senior Director, RQC Group
- Ira Kustin, Partner, Akin Gump Strauss Hauer & Feld LLP
*This briefing is open to fund managers only, please email events@aima for an invite code*
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