Date: Wednesday, February 17, 2021
Time: 2:00 PM Eastern Standard Time
Please join the following speakers for an interactive discussion covering evolving trends in 2021 and regulatory expectations.
- • Janaya P. Moscony, of SEC3 Compliance Consultants
- • Gregory Rowland, from Davis Polk & Wardwell
- • Aaron Nicodemus, from Compliance Week
Join us for a 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.
Attendance earns 1 CPE credit.