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The SEC Is Calling: What CCOs Should Expect During Initial Communications With OCIE Examiners, Part One, The Hedge Fund Law Report

September 13, 2018

Morgan Lewis partner Brendan Kalb speaks about what Chief Compliance Officers should expect during an initial call with the SEC’s Office of Compliance Inspections and Examinations, in an article written by The Hedge Fund Law Report.

Kalb shares that the best preparation method is “explaining the examination process to the adviser’s employees, putting individuals on notice that they may be interviewed by the SEC during the examination and setting forth the adviser’s expectations for how individuals should behave when interacting with the SEC during the onsite portion of the exam.”

Read the full Hedge Fund Law Report article >>