The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (DOE) recently published its 2022 Examination Priorities. Join our financial services industry leaders to explore 2022 examination priorities and best practices for registered investment adviser and broker-dealer compliance readiness.
Key Topics and Learning Objectives:
2022 Examination Priorities and What We’re Seeing So Far
- Private Fund Compliance
- Marketing Practices
- Conflicts of Interest, Disclosures and Allocation of Expenses
- Cybersecurity and Business Continuity
- Emerging Technologies and Crypto-Assets
- ESG (Environmental, Social and Governance) Investing
- Standards of Conduct: Regulation Best Interest, Fiduciary Duty, Form CRS and Valuation
Who Should Attend:
Registered Investment Advisors, Chief Compliance Officers (CCOs), Executives of Private Funds, including Private Equity, Venture, Hedge and Crypto Currency Funds, General Partners (GPs), Limited Partners (LPs), Chief Financial Officers (CFOs), Controllers, General Counsel and Family Office Executives.
Hosts:
PKF O’Connor Davies
Eric Gelb, CPA, Senior Managing Director
Kroll
Chris Lombardy, Managing Director
Featured Speakers:
PKF O’Connor Davies
Michael Provini, CPA, Partner, Financial Services
Victor M. Peña, CPA, CGMA, Partner, Financial Services
Kroll
Anna Povinelli, Managing Director, Financial Services Compliance and Regulation
Alyssa Heim, Director, Financial Services Compliance and Regulation
CPE Credit:
1 CPE Credit: Specialized Knowledge
No prerequisites or advanced planning required
Program Level: Basic / Delivery Method: Group Internet Based
For information regarding complaint and/or program cancellation policies, please contact the PKF O’Connor Davies CPE Firm Administrator at 914.381.8900.