September Fund Manager Briefing - New York

USA

SEC Examinations Case Studies: Preparing your Business for an Examination and What to Expect During the Examination

You have received an SEC Examination Letter. Now what?

In this session, we will provide practical guidance on:

1. How to prepare your business for an examination

  • What can be done ahead of time to make the examination process smoother
  • What should you do when you receive an examination letter

2. What to expect during the examination process

  • What does the examination process look like?
  • What are the general timelines?
  • Who do examiners talk to?

3. Recent examination trends

Speakers

Ross Goffi, Managing Consultant, Bovill Americas
Ross is the Managing Consultant of Bovill Americas where he is responsible for helping Bovill’s clients understand their global regulatory responsibilities, advising on the best practice for global compliance programs and day-to-day compliance matters, as well as registration and marketing for private fund managers. Ross supports Bovill’s clients globally from the Chicago office.

After receiving his Juris Doctorate from Capital University in Columbus, Ohio, Ross spent he first 6 years of his career working for various institutional managers regulated by SEC, CFTC and FINRA in the United States. In 2015, Ross moved to London to help global private fund and institutional  managers with both US and European regulatory matters.


Victoria Hogan, CFA, President, NorthPoint
Victoria worked for over six years as a compliance examiner in the New York Regional Office of the U.S. Securities and Exchange Commission (SEC). At the SEC, she led cause and routine examinations of a broad range of investment advisers including fixed income and equity advisers, alternative asset managers, hedge fund of funds, dually registered advisers, pension consultants, financial planners, and advisers to investment companies. 

Prior to establishing NorthPoint, Victoria spent two years as a compliance officer in the Legal and Compliance Department of Fortress Investment Group where she was responsible for developing and enforcing compliance policies and procedures. Victoria graduated magna cum laude from The College of New Jersey and is a CFA Charterholder.

This event is limited to Manager Members of AIMA.
To register, please contact [email protected]

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