Asset Management Minute
Why Me? How the SEC Decides Which Investment Adviser to Examine
December 6, 2023
Why me? And why now? That is usually the first thing an investment adviser asks when the Securities and Exchange Commission’s Division of Examinations comes knocking on the door. Understanding why the SEC chooses advisers for examinations at any given time could help the adviser better prepare for the inevitable.
In this episode of the Mutual Fund Minute, host and Sidley partner Jay Baris speaks with Ranah Esmaili, Sidley partner and a member of the firm’s global Securities Enforcement and Regulatory practice. Together they discuss how the Division of Examinations determines which advisers to examine and the scope of those examinations.
In this episode of the Mutual Fund Minute, host and Sidley partner Jay Baris speaks with Ranah Esmaili, Sidley partner and a member of the firm’s global Securities Enforcement and Regulatory practice. Together they discuss how the Division of Examinations determines which advisers to examine and the scope of those examinations.
Related Resources
Capabilities
Suggested News & Insights
Chicago Compliance Officer RoundtableThursday, November 12, 2026Sidley Represents Mubadala Capital in Its Strategic Minority Investment in LSV AdvisorsNovember 11, 2026Sidley Advises on Janus Living’s US$860.3 Million Public OfferingNovember 11, 2026Michael Sabin and David Form to Speak at Israel Private Markets Summit 2026Tuesday, November 10, 2026Andrew Sioson to Moderate Panel at MFA Ops: Data, Tech & AI 2026Tuesday, November 10, 2026SEC Sets 2027 Exam Priorities With Focus on Conflicts, Complex Products, and TechnologyNovember 7, 2026
- Stay Up To DateSubscribe to Sidley Publications
- Follow Sidley on Social MediaSocial Media Directory