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.
Contacts
Related Resources
Capabilities
Suggested News & Insights
Houston Chief Compliance Officer RoundtableWednesday, April 29, 2026Nineteen Sidley Lawyers Named Finalists for the Women in Business Law Americas Awards 2026April 2, 2026Out With the New, In With the Old: The “Five-Part Test” Rides AgainMarch 30, 2026U.S. CFTC, SEC Enter Into Historic Memorandum of Understanding, Joint Harmonization Initiative to Enhance Regulatory CoordinationMarch 27, 2026Sidley Represents Bonaccord Capital in Minority Investment in Prime FinanceMarch 26, 2026Private Equity Investment in U.S. Law Firms (Part II): Deal Architecture, Regulatory Boundaries, and the Lender PlaybookMarch 25, 2026
- Stay Up To DateSubscribe to Sidley Publications
- Follow Sidley on Social MediaSocial Media Directory