This webcast aired on February 17, 2021.
CPE Credit(s): 1
Join Aaron Nicodemus from Compliance Week, Janaya P. Moscony from of SEC3 Compliance Consultants, and Gregory Rowland from Davis Polk & Wardwell for an interactive discussion on what registered investment adviser (RIA) firms can expect this year in terms of requirements targeted to the financial services industry under the Biden administration and more specifically, the regulatory exam priorities of the Securities and Exchange Commission, (SEC). We’ll highlight both recent examination trends and always-relevant examination best practices, discuss instructive enforcement cases, and consider what RIAs can expect this year in terms of regulatory focus.
By attending this Webcast, you will:
- Learn examination best practice considerations, with an eye toward a more investor-focused SEC this year;
- Align compliance priorities with recent agency guidance and industry trends;
- Offer a dialogue with experts on what RIA compliance programs should be most concerned about in the near future.