SEC Examinations: What to Expect and How to Prepare

The regulatory environment is constantly evolving, and keeping up with the changes can be challenging. Securities and Exchange Commission (SEC) examinations also evolve, and firms need to be prepared for new regulatory requirements and expectations.

Join us on September 17th at 11:00 AM (ET) to hear from our experienced ACA Wealth experts who will discuss SEC examinations, including what to expect, what we’re seeing in the current landscape, and how to prepare. With many exams moving back to on-site, firms need to be ready at all times.

• Gain insights from experts on current SEC exam priorities.
• Learn how to effectively organize, communicate, and manage expectations for an SEC exam.
• Benefit from our extensive experience assisting clients through hundreds of SEC exams.
• Explore recent SEC focus areas, including conflicts of interest, suitability, cybersecurity, off-channel electronic communications, artificial intelligence, and more.

Who should attend?

This webcast is for wealth management chief compliance officers (CCOs), operations personnel, and compliance personnel. It is designed to provide critical insights into navigating SEC examinations, understanding the current regulatory landscape, and effectively preparing for the process.

Speakers

• Myles Blechner, Director, ACA Group
• Andrea Penn, Director, ACA Group