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Anticipating the Test: Preparing for 2019 SEC Examinations

Session Speakers
Session Description

Why attend:
Through case studies and interactive dialogue, attendees will gain insight into this year’s SEC examination and compliance priorities and how you can best prepare.

Session details:
Are you ready for your next SEC exam? The SEC’s Office of Compliance Inspections and Examinations issues Risk Alerts to remind advisors of their regulatory responsibilities and educate firms on how to advance their compliance efforts. Recent Risk Alerts have focused on issues such as cybersecurity, safeguarding, disclosures related to fees and expenses, and senior investor issues, all of which are likely to appear on the next exam. In this session you will learn about:

  • This year’s emphasized areas of focus, including Regulation S-P, the new California Consumer Privacy Act, cybersecurity, senior investor protections, advisory fees and expenses, and performance advertising
  • Internal controls firms should consider implementing based on best practices outlined in the Risk Alerts for successfully managing compliance
  • SEC focus areas and how to prepare for your next examination 

Additional Information
CIMA-1.5 hrs, CE-1.5 hrs
Extended Education Session
1h 30m
Session Schedule