Standish Compliance and Debevoise & Plimpton hosted a joint webinar focused on how private fund advisers and RIAs can prepare for, navigate, and respond to an SEC examination. SEC exams continue to evolve in tone, scope, and expectations. Drawing on recent exam experience, this session walked through the full lifecycle of an examination—from initial notice through outcomes and remediation—highlighting practical considerations for CCOs, legal teams, and senior management.

Topics include:

• Overview of the SEC Examination Process

• Document Requests & Production

• Interviews & Exam Logistics

• Navigating Exam Outcomes

SPEAKERS

Partners and senior professionals from Debevoise & Plimpton and Standish Compliance, offering perspectives from regulatory, enforcement, and hands-on exam readiness experience.

Charu Chandrasekhar, Partner, Debevoise & Plimpton

Kristin Snyder, Partner, Debevoise & Plimpton

Todd Humphrey, Managing Director, Standish Compliance

Andy Green, Senior Compliance Officer, Standish Compliance