Simpson Thacher Attorneys Author Law360 Article on SEC Risk Alert on Adviser Exam Prep
10.05.23
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Partners Meaghan Kelly, Michael Osnato and David Blass authored a Law360 article titled, “SEC Risk Alert Provides Helpful Info For Adviser Exam Prep.” The article explored the SEC’s recently released risk alert that provides an overview of its approach for selecting advisers for examination and details documents typically requested in examinations. It further discussed how the risk alert can serve as a helpful tool in an adviser’s examination preparation toolkit and offers takeaways and general considerations for advisers preparing for examination.
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