Live Webinar: 2021 SEC Examination Priorities
The U.S Securities and Exchange Commission’s (SEC) Division of Examinations recently published its 2021 Examination Priorities. Join our financial services industry leaders to explore 2021 examination priorities and best practices for investment adviser and broker-dealer compliance readiness.
Key Topics and Learning Objectives:
- 2021 Examination Priorities and What We’re Seeing So Far
- How to Identify Common Mistakes and Non-Compliant Practices
- Best Practices for Registered Investment Advisers and Broker-Dealers
- How to Prepare for Your Upcoming Exam
Who Should Attend:
Chief Compliance Officers (CCOs), Executives of Private funds, including Private Equity, Venture and Hedge Funds, General Partners (GPs), Chief Financial Officers (CFOs), Controllers, General Counsel and Family Office Executives.
Host:
PKF O’Connor Davies
Eric Gelb, CPA, Senior Managing Director
Featured Speakers:
PKF O’Connor Davies
Michael Provini, CPA, Partner, Financial Services
Duff & Phelps, A Kroll Business
Anna Povinelli, Managing Director
Alyssa Heim, Director
CPE Credit:
1 CPE Credit: Specialized Knowledge
No prerequisites or advanced planning required
Program Level: Basic / Delivery Method: Group Internet Based