SEC Investment Adviser Examination and Enforcement Focus 2012
10:50 AM – 12:00 PM
Thursday, May 17
A panel of examination and enforcement experts will explain what you need to know-and do, regarding the changing SEC examination approach and focus. A list of current SEC enforcement cases will be provided and discussed to learn the critical lessons from past compliance failures. The panel will highlight major deficiencies leading to enforcement actions and review notable enforcement actions in which the SEC named and, ultimately, censured the chief compliance officer of an investment adviser.
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