Colorado Compliance Roundtable: Surviving Regulatory Examinations: Tips and Hints

Davis Graham & Stubbs LLP is pleased to invite you to join us for the next installment of the Colorado Compliance Roundtable Breakfast Series. The series is open to all investment adviser compliance professionals and service providers. Each installment is designed to assist with a particular aspect of the evolving regulatory and business landscape.

This series offers a unique opportunity to exchange ideas, questions, and best practices with local compliance professionals, attorneys, and compliance consultants in an interactive, candid, small-group setting.

Since 2000, the U.S. Securities and Exchange Commission and the Colorado Division of Securities have overseen registered investment advisers, including examining from time to time those advisers within their jurisdiction. These examinations can be sources of anxiety for investment advisers and their principals, both because of the general redeployment of staff resources from routine business activities and the specifics of the examination process.

Issues to be addressed include:

• What preparatory steps can be taken prior to an examination?
• What are best practices for the onsite portion of the examination?
• How should follow up requests be handled?
• How should a deficiency letter be addressed?
• What should an adviser consider when providing third parties with details about the exam?

Our speakers for this program will include:

• Lee Terry, Partner, DGS
• Peter Schwartz, Partner, DGS

Event Information

September 27, 2016

1550 17th Street Suite 500 Denver, CO 80202

Program | 4:00-5:00 PM Networking Reception | 5:00-6:00 PM

Presentation Materials