Lisa Klar Moderates Panel at CounselWorks SummerTime Summit 2013
06.27.13
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On June 25, 2013, Simpson Thacher counsel Lisa Klar moderated a panel at the CounselWorks SummerTime Summit 2013 entitled “Nine Months of Presence Exams - Lessons Learned.” The panelists were the Chief Compliance Officers of three newly registered (post-Dodd Frank Act) investment advisers who have been examined by the SEC under its Presence Exam Program, and the former Deputy Director of the SEC Division of Investment Management who was responsible for rulemaking to implement provisions of Dodd Frank affecting investment advisers.