01-28-21

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

Recorded: January 28, 2021
Presented by Bates Compliance

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.

On this program, we 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

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