On Feb. 27, Ropes & Gray and the CFA Society of Washington, D.C. co-hosted a presentation titled “How to Survive Your Next SEC Audit.” Litigation & enforcement counsel and former SEC auditor Jeremiah Williams (Washington, D.C.) discussed the SEC exam process and the most common and easily addressable SEC audit infractions. With an SEC administration change, uncertainty about the future of a unified fiduciary standard and constant technological advancements are making compliance more challenging. The discussion, held at the Tower Club of Tysons Corner, aimed to address a range of compliance issues that CEOs, CCOs, CIOs and traders may face.
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