Tips and Trends to Help Advisers Prepare for SEC Examinations

Описание: In addition to going over the SEC exam process and providing tips for preparing to be examined, the panel explains exam trends in the COVID-19 environment, common deficiencies, recent focus areas, and what to expect when examiners look at Form CRS and LIBOR issues.

Anil Abraham, Associate General Counsel, Managing Director – Legal, Focus Financial Partners, LLC
Kristin A. Snyder, Deputy Director, Co-National Associate Director and Associate Regional Director, SEC Division of Examinations
Michelle L. Jacko, CSCP, Managing Partner and CEO, Jacko Law Group, PC, and Founder and CEO, Core Compliance & Legal Services, Inc.
Mark Perlow, Partner, Dechert LLP, MODERATOR