This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.

Course Description: Your CEO hears about a change in a rule that could dramatically change the way your firm does business. You are tasked with determining, at once, the status of the change, the time available before compliance with the change is required, and the likely impact on your firm. To provide a reasonable answer, […]

Course Description: The sweeping revision of the advertising and solicitor rules is perhaps the most dramatic change in IA regulation since the adoption of the Compliance Program Rule in 2003. While the SEC has allowed over a year before compliance with the new rules are required, many firms will want to take advantage of many […]

Course Description: Perhaps the greatest compliance challenge for a small firm is to adapt to rules, requirements and requests that also apply to firms 10, 20 or 50 times your size. SEC examinations are no exception – when the SEC announces it will be conducting a remote exam, you are likely to be required to […]

Course Description: What a difference a year makes! Your large firm now encompasses offices, branch offices, temporary offices, houses, apartments, summer homes, parents’ homes and more. These dramatic shifts in how your firm does business has not stopped the SEC from maintaining a vigorous schedule of off-site examinations. That means you’re still responsible for documenting […]

Course Description: As we approach the anniversary of Regulation BI’s compliance date, are you prepared for the regulatory exam focus? What are the key areas of your compliance processes and how are you testing your duty and disclosure obligations? Panelists will review what firms have encountered post implementation and provide practical guidance in addressing common […]

Course Description: Perhaps our most popular session! Our panelists provide fresh, witty and candid insight on key cases while explaining how these cases apply to your firm. The panel will also consider whether recent cases represent new enforcement trends and whether the current cases suggest new or different directions in the SEC’s thinking. This is […]

Course Description: This session will review notable enforcement cases and disciplinary actions and discuss how these cases can provide insight into potential weaknesses in your firm’s compliance program. The panel will highlight violations from these proceedings firms may use to evaluate their written supervisory procedures (“WSPs”) and practices. Learning Objectives After attending this session, you […]