SEC Examination

SEC Examination

How To Prepare For an SEC Examination

SEC ExaminationEarlier today I found out about a seminar that K & L Gates is presenting at no cost to those who are looking for advice on how to prepare for an SEC examination. Here are the details:

In this program, partners in our Investment Management and SEC Enforcement Groups will provide practical suggestions for hedge fund managers to prepare for an SEC examination. We will address this topic from the standpoint of advisers managing hedge funds, separate accounts, or both, and from the standpoint of an adviser with an affiliated broker/dealer. We will give pointers on preparing for and managing an SEC examination, and we will cover SEC hot button topics, including valuation, short selling, insider trading and market manipulation, conflicts of interest and testing of compliance procedures. In addition, in certain locations, we will also address preparing for a Department of Labor, CFTC and National Futures Association examination.

If you are interested in attending this event you may register by clicking here. For further questions, please email Nancy Feldman or call 617.951.9257

Location Information

Tuesday, October 7, 2008
K&L Gates
State Street Financial Center
One Lincoln Street
Boston, MA 02111

San Francisco
Wednesday, October 29, 2008
The Westin San Francisco Market Street
50 Third Street
San Francisco, CA 94103

New York
Wednesday, November 12, 2008
K&L Gates
599 Lexington Avenue
New York, NY 10022

Washington, DC
Wednesday, November 19, 2008
K&L Gates
1601K Street, NW
Washington, DC 20006


Mark P. Goshko, K&L Gates Boston office
Nicholas S. Hodge , K&L Gates Boston office
Peter N. McIsaac , K&L Gates Boston office
Rebecca O'Brien Radford , K&L Gates Boston office

San Francisco
J. Matthew Mangan , K&L Gates San Francisco office
Mark D. Perlow , K&L Gates San Francisco office
Richard M. Phillips , K&L Gates San Francisco office
William P. Wade , K&L Gates Los Angeles office

New York
Edward G. Eisert , K&L Gates New York office
Beth L. Golden , K&L Gates New York office
Kay A. Gordon , K&L Gates New York Office
David Pickle , K&L Gates Washington, DC office

Washington, DC
Cary J. Meer , K&L Gates Washington, DC office
Lawrence B. Patent , K&L Gates Washington, DC office
Robert H. Rosenblum , K&L Gates Washington, DC office
William A. Schmidt , K&L Gates Washington, DC office
Stephen G. Topetzes , K&L Gates Washington, DC office

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Tags: SEC Examination, SEC Examinations, How to Prepare for a SEC Examination, Preparing for a SEC Examination, What is a SEC Examination, Getting Ready for a SEC Examination

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