Jonathan Forman Offers Guidance on Successful SEC Compliance Examinations

Articles / May 4, 2017

Counsel Jonathan Forman authored an article published in the April 2017 issue of NSCP Currents, the journal of the National Society of Compliance Professionals. Forman’s article, “Lessons Learned from Recent SEC Enforcement Actions Referred from OCIE Examinations,” discusses how registered investment advisers, broker-dealers, and other regulated entities can prevent a regulatory examination from turning into an enforcement action. Drawing from recent enforcement actions that were referred from the SEC’s Office of Compliance Inspections and Examinations (OCIE), Forman offers three essential guidelines: (1) comply with regulatory initiatives; (2) address all deficiencies from prior examinations; and (3) fully remediate any known misconduct.

Read the article.