How to Prepare For and Survive an SEC or State Regulator Examination

Part of the Operational Risk Breakfast Club's Quarterly Series


Foley Hoag LLP

Seaport West
155 Seaport Boulevard
Boston, MA 02210-2600

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June 22, 2011 8:30AM–10:00AM


Sponsored by Foley Hoag LLP and Kinetic Partners 

The Operational Risk Breakfast Club provides the opportunity for senior investment management professionals to mix informally and gain advantages by gathering insights and information regarding key developments in the industry. These meetings occur on a quarterly basis.

Topics to be discussed:

  • Tips for preparing for and surviving an SEC or state regulator exam
  • An inside look at recent SEC exams and hot exam topics
  • The latest Dodd-Frank timeline, and how the industry is responding


  • Jonathan Saxton, Kinetic Partners
  • Chris Lombardy, Kinetic Partners
  • Jeff Collins, Foley Hoag LLP