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Events  |  12-07-23

Webinar December 12th: Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda

The SEC recently published its 2024 exam priorities, highlighting key examination and compliance priorities as it relates to many areas, including Regulation Best Interest and Investment Advisors. Later in the fall, the SEC’s enforcement branch reported 784 actions, with nearly $5 billion in fines, painting a clear need for action for the 2024 year.

Join Bates Compliance Managing Director Rhonda Davis, along with industry experts from Alphastar Capital, Docupace, InvestorCOM and Scopus Financial Group on December 12th for a webinar discussing:

  • Convergence of best interest principles across Reg BI and DOL’s Fiduciary requirements,
  • Investment advice provided to clients across products, strategies, and account types,
  • Processes for determining the investment advice is provided in clients’ best interest, and
  • How technology can be a key asset in considering reasonably available alternatives (RAA) products, account type and rollover recommendations.

December 12, 2023 at 1:00 PM ET

Presented by InvestorCOM

Webinar Details and Registration

Webinar December 12th: Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda

Rhonda Davis

Managing Director, Bates Compliance

rdavis@batesgroup.com