Updated Sunday, July 13, 2014 as of 3:09 AM ET
Keep Calm and Carry On
Friday, April 1, 2011
Partner Insights

Not long ago our office received a letter from the SEC informing us that the agency's examiners would be visiting in two weeks to perform our RIA audit. They conveniently provided us with a list of materials that we should get ready for their review. Our compliance officer, Mena Bielow McAfee, had been through this before, but not for 11 years, so there was naturally quite a bit of angst around getting prepared for this audit.

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