SEC registered investment advisers are required to conduct annual reviews of their business operations and practices. Proof of these reviews is a key item for SEC examiners. Many compliance review firms offer services to provide RIAs with professional evaluations for meeting the “annual review” requirements. In some cases, these reviews are promoted as “mock SEC audits” often requiring additional fees and in some cases offering “attorney-client privilege” protection of the review. Based upon Mr. Wheeler’s personal experience, this presentation exposes the truth about “mock SEC audits,” reviews the actual requirements for SEC registered investment advisers, and provides guidance on how to protect oneself from paying too much for unnecessary services.
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