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SEC Examination and Enforcement Update for Investment Advisers

February 26, 2019
1:00 PM - 3:00 PM EST
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Course Description:

As the SEC’s Office of Compliance Inspections and Examinations continues to adjust to changing investment adviser registration base, markets and investor needs and preferences, its risk based examination program will change as well. With the recently released 2019 Examination Priorities, this course assembles subject matter experts to dissect and interpret this year’s priorities. Find out what priorities are applicable to your firm. Our expert instructors will address the SEC’s latest Examination and Enforcement Priorities, emerging risk areas, new trends in examinations, and steps firms can take before, during and after an exam to improve exam outcomes. This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them. Sample document request lists will be provided to review specific requested documents for different types of firms.

After attending this course you will be able to:

  • List the ways that the current market and regulatory environments affect SEC examinations of investment advisers
  • Review and address how to handle the SEC’s top Examination and Enforcement Priorities, including National Exam Program initiatives as well as priorities specific to investment advisers
  • Demonstrate an understanding of the federal and state examination processes from first notice to final follow-up to avoid unnecessary interruption of the firm’s business
  • Use recent SEC Document Request Lists to increase the firm’s preparedness, minimize retrieval time during an examination, and maximize a favorable examination outcome
  • Address the link between internal controls and SEC examinations
  • Further limit regulatory risk on both a personal and firm level

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 and Group Live

Pre-requisites for participation: No advance preparation or prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940 and related SEC Rules to become familiar with the structure and terms.

Advance Preparation: None

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