Compliance Program Revisited: SEC’s Renewed Interest in CCO Competence and the Annual Review
1:00 PM – 2:15 PM
Friday, October 12
Ann Oglanian, Martin Murphy
The SEC’s current focus on CCO qualification has been amply demonstrated in recent enforcement cases and deficiency letters. This session will help you be prepared should an examiner ask you to demonstrate your qualifications for your job. In a similar vein, the SEC is placing a special emphasis on determining if an adviser has accomplished a thorough, well-documented annual review. Our panelists will arm you with the knowledge you need to make certain that your review will meet SEC expectations.
Back to the Agenda