Webinar Replay: 2021 SEC Examination Priorities
Our financial services industry leaders 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
Featured Speakers:
PKF O’Connor Davies
Eric Gelb, CPA, Senior Managing Director
Victor Pena, CPA, Partner
Michael Provini, CPA, Partner, Financial Services
Duff & Phelps, A Kroll Business
Anna Povinelli, Managing Director
Alyssa Heim, Director
CPE is not offered for webinar replays