ACA’s Spring Conference — Session Spotlight: Anatomy of an SEC Exam

ACA’s Spring 2018 Compliance and Performance Conference, happening from May 9 to 11 at The Ritz-Carlton Amelia Island in Amelia Island, Florida, will feature educational sessions that are designed to keep you up-to-date on industry news, trends, and hot topics.

Today’s conference spotlight highlights a session that will address a topic that many investment advisers have wondered about: what actually happens during an SEC exam?

Session Overview: Anatomy of an SEC Exam

Our panelists will take a deep dive into what happens during an SEC exam, including:

• A breakdown of the SEC's document request list;
• Practical tips of what to do and not do when the SEC is on site; and

• Responding to a deficiency letter or other action resulting from the exam.

Register by This Friday to Avoid Late Registration Fees!

It’s not too late to join ACA and hundreds of your peers in sunny Florida for three days of engaging learning sessions, professional networking opportunities, and fun events! If you haven’t signed up yet, you can register here. You can also see the full agenda here. Act fast — regular registration rates end March 30. We hope to see you there!

About the Author

Erin Conrad is Marketing Operations Manager at ACA. Erin oversees ACA’s website and content strategy in addition to marketing initiatives for ACA Technology and ACA Aponix. Prior to ACA, Erin was Manager of Technical Publications at Imprivata, a healthcare IT solutions company based in Lexington, Massachusetts. At Imprivata, she developed and deployed end-user documentation for Imprivata’s products. Previously, Erin managed the Technical Communications Group at Eze Software in Boston. Erin earned a Bachelor of Arts degree in English and a certificate in Professional Writing and Technical Communication from the University of Massachusetts at Amherst.