This webinar discusses the common issues and deficiencies that fund advisers experience during SEC exams and practical tips to avoid them.
Specific topics that the speakers address include:
Mr. Flippen provides compliance consulting to investment advisor clients, which may include providing advice and guidance on firm and individual registrations, examinations, firm policies and procedures, federal and state regulatory rule interpretations, and risk assessments. With more than 20 years of experience in legal and compliance, he is a risk management and compliance professional with expertise in private fund compliance and regulatory matters. Prior to joining Foreside, he was with QMA/Prudential, MetLife Advisors, Deloitte, Bear Stearns Asset Management, and E&Y, where he held various compliance roles.
Mr. Moreshead oversees Foreside’s investment advisor compliance services team which provide strategic and regulatory guidance to investment advisors under the investment advisers Act of 1940 and state securities laws. Prior to joining Foreside, he served as in-house counsel for a large financial services company and has more than 25 years of experience providing regulatory compliance services to private fund managers, registered investment companies, and retail investment advisors.