Surviving an SEC Regulatory Exam – A Guide for Investment Advisors

January 5 2016 | Blue River’s founding co-partner, Michael Minces, and senior compliance associate, Michael Cramer, recently published an article to the Wall Street Journal.

The article discusses the challenges of regulatory SEC exams and provides an insightful background into how the exams have developed into what they are now. Minces and Cramer provide their expertise on how to successfully handle and pass an exam.

To view the full article, please click here.