Mutual Fund 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.
関連リソース
得意分野
Suggested News & Insights
Texas Funds Forum SeriesTuesday, October 20, 2026Sidley Represents Electronics for Imaging in Its Combination With Agfa’s Digital Printing Solutions BusinessSeptember 28, 2026Sidley Advises on National Stock Exchange of India’s US$2.36 Billion IPO — India’s Largest This YearSeptember 28, 2026Sidley Represents Certares on Single-Asset Continuation Fund of Guardian AlarmSeptember 25, 2026Sidley Represents Rexel in Its US$1.4 Billion Acquisition of GCGSeptember 25, 2026Second Circuit Affirms Tax Court in Soroban, Adopts Management-and-Control Standard for Self-Employment Tax Exception Under Code Section 1402(a)(13)September 22, 2026
- Stay Up To DateSubscribe to Sidley Publications
- Follow Sidley on Social MediaSocial Media Directory