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As focused and precise as most investment managers are, many of them continually make the same mistakes during SEC audits. To make the situation more frustrating, they ought to know better. 

Our recent HFM webinar took a closer look at this potentially frustrating phenomenon. The panel discussed the four most common errors even the savviest managers frequently make during SEC audits. And, they offered proven best practices that can help break the cycle, and help you move toward error-free audits.

The webinar was held online on March 1, and was moderated by Backstop VP of Marketing Maryling Yu. The panel included:

  • Bob Simon, VP of Solutions Consulting, Backstop
  • Michael Byl, Consultant, Gartland & Mellina Group
  • Molly Griffin, Senior Associate, Gartland & Mellina Group

If you attended the webinar, you’ve already benefited from the insights and experience of these industry experts. If you weren’t able to join us, you won’t want to miss out on this valuable insight – check out our recording of the webinar below.

 

 

You can also keep this vital information on hand by downloading the ebook. The ebook parallels the webinar, and contains detailed insights on the common audit mistakes, the damage they can cause, and tips and techniques for avoiding them going forward. The ebook concludes with a valuable section about integrating compliance into your firm’s overall culture.

This is vital, actionable information you can’t afford to be without. Take a moment to download your copy of the ebook now.

DOWNLOAD E-BOOK NOW