SEC Exam Survival Guide

by SS&C | White Paper

Prepare in 12 Steps

The SEC can conduct an exam of a registered investment adviser at any time, for any reason, announced or unannounced. But are you prepared? Compliance deficiencies can result in fines or other action, and can even land a firm on the SEC’s watch list for greater scrutiny.

Written in conjunction with leading SEC compliance consulting firm Focus 1 Associates, this white paper will help you understand what brings the SEC to your door.

About SS&C

SS&C is a global provider of investment and financial software-enabled services and software for the global financial services industry.

Prometeia Credit Decision Management Platform - Egyptian Banks

Video | Banking Prometeia Credit Decision Management Platform - Egyptian Banks

Prometeia
Prometeia Risk Insights

Video | Asset management Prometeia Risk Insights

Prometeia
Why Partner with NXTsoft?

Video | Banking Why Partner with NXTsoft?

NXTsoft
Evolving APIs | NXTsoft Connectors For 40+ Banking Core Systems

Best Practice | Banking Evolving APIs | NXTsoft Connectors For 40+ Banking Core Systems

NXTsoft
New GFT Engineering blog on Medium

Other | Artificial intelligence New GFT Engineering blog on Medium

GFT

Other resources from SS&C

Developing Operational Models for Wealth Managers

White Paper | Middleware/SOA infrastucture Developing Operational Models for Wealth Managers

SS&C
CRM and the RIA: Unlocking the Full Value

White Paper CRM and the RIA: Unlocking the Full Value

SS&C
Managing Risk in a New World: Best Practices for Hedge Funds

White Paper Managing Risk in a New World: Best Practices for Hedge Funds

SS&C
Hitting the Technology Roadblock

White Paper | Asset management Hitting the Technology Roadblock

SS&C
SEC Exam Survival Guide

White Paper SEC Exam Survival Guide

SS&C
Hitting the Technology Roadblock

White Paper | Asset management Hitting the Technology Roadblock

SS&C
Managing Risk in a New World

White Paper | Asset management Managing Risk in a New World

SS&C
Top Four Reasons Asset Managers Consider Outsourcing Middle Office Process

White Paper | Middleware/SOA infrastucture Top Four Reasons Asset Managers Consider Outsourcing Middle Office Process

SS&C