Best Practices to Master an SEC Exam in 2018
Presenters Victoria G. Hogan and Colleen Montemarano of NorthPoint Compliance are former SEC Examiners who lend their experience to this exclusive MCO Webinar. This presentation reviews the SEC's National Exam Program 2018 Priorities, tips for registered investment advisers regarding compliance policies and procedures and how firms can conduct reviews that will prepare their program for a visit from SEC examiners.
- Introduction (1:45)
- Overview of Priorities for Retail investors (14:01)
- Electronic Investment Advice (2:25)
- Wrap Fee Programs (5:23)
- Considerations for Never Before Examined Investment Advisers (7:43)
- Senior Investors and Those Saving for Retirement (7:32)
- Mutual Funds and ETFs (3:41)
- Cybersecurity (5:15)
- Anti Money Laundering Program (4:47)
- Q&A (6:59)
You can download the slides from this webinar here.
Read our blog post; 'SEC Exams: The Do's & Dont's'
