Webcast: <br> Surviving an SEC Audit
Leading advisers discuss how to prepare for and handle an SEC audit Wednesday, May 20, 2008 4:00…
Leading advisers discuss how to prepare for and handle an SEC audit
Wednesday, May 20, 2008
4:00 p.m. – 5:00 p.m. Eastern Time
Click here to view archived webcast or download an mp3.
Key topics covered during the webcast will include:
• Failsafe preparation steps
• Pros and cons of consulting a third-party provider
• What to do when the auditor arrives
• Dealing with penalties
Listen to our expert panelists discuss lessons learned form an SEC audit LIVE from your own desk. Ask questions about getting ready for an audit and what to expect.
US Securities and Exchange Commission link cited in the webcast: www.sec.gov/info/cco/adviser_compliance_questions.htm
Moderators:
Jim Pavia
Editor
InvestmentNews
Evan Cooper
Senior Managing Editor
InvestmentNews
Panelists:
Larry Eiben
Chief Operating Officer and Chief Compliance Officer
TFS Capital LLC
Richard Marshall
Partner, Investment Management and Securities Litigation Groups
Ropes & Gray
Curt Weil
President and CFP®
Lasecke Weil Wealth Advisory Group LLC
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