Takeaways from Recent Regulatory Exams

Description

This course is designed to help investment adviser representatives and compliance professionals understand current priorities & focus areas of the U.S. Securities & Exchange Commission’s (“SEC”) examination program for investment adviser firms. The speaker discusses SEC regulatory guidance and shares insight of common deficiencies that result from regulatory examinations. The course also analyzes recent SEC enforcement actions and provides takeaways that the participant can apply to his or her investment adviser firm’s compliance program. The speaker provides best practices for improving an investment adviser firm’s compliance program and mitigating the risk associated with regulatory examinations and avoiding enforcement actions. This course provides one credit in the Products & Practices category.