Photo of John Warren ˘

John Warren ˘ is a Law Clerk/JD based in Greenberg Traurig's Chicago office.

˘ Not admitted to the practice of law.

On Sept. 6, 2023, the Securities and Exchange Commission’s Division of Examinations issued a Risk Alert detailing the Division’s examination selection process for SEC-registered investment advisers (Advisers). The Risk Alert

Continue Reading SEC Risk Alert to Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents