|
Jan
16
|
SEC Enforcement Focus 2014
Thursday
1:00
PM
- 3:00
PM
(ET)
|
Course Description:
The SEC’s Enforcement program has changed dramatically in recent years and it appears that 2014 will be no exception to this trend. This course will provide an overview of enforcement priorities and initiatives that the SEC staff has identified for 2014. Our expert instructors will examine many of these emerging enforcement trends including:
- More activity by specialized units
- Attacking insider trading
- Investigating misconduct at hedge funds, private equity funds, and mutual funds
- Increased leverage of examination program
- The “Broken Windows” approach
- Continuing focus on small advisers
- Increased use of the administrative process
- Increased use of data analytics through technology
- Increased use of whistleblowers and cooperation programs
- The slow and steady erosion of the SEC’s willingness to accept settlements where the defendant does not admit or deny the violations
The instructors will also discuss the SEC’s recently released enforcement results for FY 2013 and New Forward-Looking Initiatives discussed in the SEC’s report.
Learning Objectives:
After attending this course, attendees should be able to:
- Identify the types of activities (large or small) that could attract an SEC investigation
- Decipher how technology has increased the odds of detecting bad behavior
- Defend a request to allocate firm resources for compliance initiatives to help avert potential enforcement action
- Create an action-oriented plan to help firms avoid an SEC investigation and possible enforcement action
- Assess how the cooperation between the SEC examination and enforcement programs could affect your firm
For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance and management responsibilities.
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based
Pre-requisites for participation: No advance preparation or prerequisites are required. However, attendees can benefit by reviewing the SEC Examination and Enforcement Programs at www.sec.gov
Advance Preparation: None
Continuing Education Credits
See NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2
Recommended CFP® Credit: pending