SRZ’s video series highlighting the importance of the SEC’s annual review for fund managers features insights from regulatory & compliance partners Marc E. Elovitz and Brian T. Daly and special counsel Brad L. Caswell. The six videos cover key areas of the annual review, including the importance of timing, assessing risk areas and meeting SEC expectations, and are part of SRZ Insights, a series featuring SRZ attorneys sharing their expertise on timely topics in the financial services industry.

To view the videos, visit SRZ on YouTube or Vimeo, or click the links below:

Prioritizing the Annual Review

The SEC’s Expectations for the Annual Review

After the Annual Review

The Importance of Timing in the Annual Review

Assessing Risk Areas for the Annual Review

The Written Annual Review