Drawing on the authors’ experience as former SEC examiners and a Chief Compliance Officer, this playbook walks private fund advisers through the full SEC examination lifecycle, from selection and announcement through document production, interviews, and remediation. The result is a practical, guide to how the SEC approaches examinations, where firms commonly stumble, and how to prepare for, manage, and respond to each phase with confidence.
What’s Inside
- How the SEC selects advisers and what to expect at announcement
- Building an effective Day One Presentation
- Preparing for Staff interviews and managing document requests
- Navigating exit interviews, deficiency letters, and remediation
- A sample Day One request list and curated SEC resources
