Be Prepared for Your SEC Examination: Maintaining Proper Books and Records

Date: 
September 19, 2017 -
11:00 am to 12:30 pm
Type: 
Webcast
Division: 
Investment Adviser
Speaker(s): 
Ted Eichenlaub, Partner, ACA Compliance Group

Join speakers from ACA Compliance Group, a leading provider of regulatory compliance services and solutions, and PEF Services, a leading fund administrator for private equity funds, for an in-depth discussion about proper maintenance of books and records.

Discussion Topics

  • What books and records are required to be maintained.
  • The best format to maintain books and records.
  • What documents are likely to be requested for an SEC Examination.
  • Some common record keeping deficiencies.

There will be time allotted to answer specific questions and respond to comments from webcast attendees.

If the date and time do not work for you...
As part of your registration, an archived version of the live event will automatically be emailed to you when it becomes available.

Who Should Attend

Fund managers, CFOs, CCOs, CAOs, controllers, chief operating officers, limited partners, vice presidents, and managing directors.

Webcast participants can earn up to 1.5 CPE credits in Specialized Knowledge for this webcast. PEF Services will handle your request for credits. Please check "I'd like to apply for CPE" on the registration form.*

*PEF Services LLC is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have the final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered submitted to the national Registry of CPE sponsors through its website: www.learningmarket.org