Category: Articles & Publications

THINKADVISOR: Practical Tips to Prepare for an SEC Exam

February 8, 2018, By Joseph M. DiBartolo, Director, Alaric Compliance Services

When regulators show up at your door to conduct an inspection, as part of an industry sweep or a routine examination, will you be ready? As confirmed in its 2017 Agency Financial Report, the Securities and Exchange Commission examined more investment advisors than in the prior fiscal year — a 50% increase from just three years ago.1 With the agency planning to keep its examiners even busier in 2018,2 here are some practical pointers to prepare for and execute a successful SEC exam.

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1 Pg 42, “2017 SEC Agency Financial Report”
2 http://www.investmentnews.com/article/20171011/BLOG09/171019987/brace-yourself-for-more-sec-exams

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