Risky Business: How to Use the SEC’s Risk Alerts to Identify and Fix Potential Compliance Problems

Please join Foreside's Les Abromovitz, Kelli Haugh, and Herbert Moore, Special Counsel with McCarter & English, as they discuss the latest SEC Risk Alerts, which address compliance deficiencies found during examinations. These alerts help to educate advisers and warn CCOs about problem areas that examiners will be focused on during future exams.