Thompson Hine is pleased to share with you the latest episode of Market Matters, our podcast series that explores legal and regulatory issues affecting the investment management industry.
In this episode Cassandra W. Borchers, a partner in the Investment Management practice group, explains what is involved in an SEC examination and offers guidance on how to prepare for one. This podcast episode covers the following topics:
- What firms will be examined?
- What will the examiners ask for?
- How does the process work?
- What happens after the exam?
Please click here to listen to the podcawst