Events  |  01-15-21

Upcoming Webinar: Developing Your 2021 Plan to Address the SEC’s Top Compliance Findings

Upcoming Webinar: Developing Your 2021 Plan to Address the SEC’s Top Compliance Findings

The SEC Division of Examinations (formerly OCIE) issued a recent Risk Alert, along with remarks by Director Peter Driscoll, identifying common deficiencies from recent examinations related to the obligations on investment advisers required by the Advisers Act. These observations are packed with items that adviser firms could turn into a very lengthy checklist, but there is no need to get lost in the details. In this session, you will learn how to strategically and tactically manage and streamline this important compliance information, which the SEC will be scrutinizing in 2021.

We will discuss:

  • Developing your compliance roadmap for the year
  • Setting implementation priorities and timeline
  • Engaging senior management in the process
  • Addressing any gaps
  • SEC Exam Priorities – What to expect

Program Details and Registration

Date: Thursday, January 28, 2021

Time: 2:00 p.m. - 3:00 p.m. ET

Speakers: Linda A. Shirkey, Managing Director

Jennifer Sullivan, Senior Consultant

Presented by: Bates Compliance

Reserve your spot now to learn what the SEC will be scrutinizing this year.

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Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

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