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Regulatory: Surviving a regulatory inspection

Advance preparation for a regulator’s arrival can mitigate the challenges a firm faces during the inspection itself

One in-house counsel’s most challenging responsibilities can be surviving a regulatory inspection of the firm’s regulated business activities. This article discusses several important principles to consider when preparing for a regulatory inspection, managing the inspection process and responding to findings from the inspection.

Preparing for a regulatory inspection

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Paul Miller

Paul M. Miller is a partner in Seward & Kissel’s Investment Management Group in the Washington, D.C. office, where he focuses primarily on registered investment...

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