SEC Examination Priorities and Focus Areas for 2017

Date: 
February 16, 2017 - 2:00 pm
Type: 
Webcast
Division: 
Investment Adviser Investment Company

Please join us on February 16, 2017 at 2:00 p.m. EST, as ACA Compliance Group speakers Sara Beier, Senior Principal Consultant and Darren Kearns, Senior Principal Consultant and guest speaker, Sofya Abrams, Counsel at Sidley Austin LLP, will host a webcast discussion on SEC Examination Priorities and Focus Areas for 2017.

Our speakers will discuss the 2017 exam priorities announced by OCIE on January 12, 2017. The webcast will focus on the following topics relevant to our investment adviser clients:

  • OCIE’s continued focus on cybersecurity and the protection of retail investors, especially retiring and elderly investors;
  • A new focus on advisers providing electronic investment advice and wrap fee programs; and
  • We will also discuss other areas that may likely impact the examination of advisers in 2017, including:
    • Whistleblowers;
    • Trade Surveillance; and
    • A post-election SEC.

There will also be time allotted to answer specific questions and respond to comments from webcast attendees.

The SEC Examination Priorities and Focus Areas for 2017 webcast is complimentary. Please click this link to register for the event.