Live Webinar
Wednesday, July 30th
12:00PM EDT
SEC Mid-Year Outlook: Practical Guidance for a Shifting Regulatory Environment
We’re at the halfway point of a year marked by uncertainty and deregulation across financial services in the U.S. But less regulation doesn’t mean no regulation—and firms who grow complacent about their compliance responsibilities under the SEC will still face significant regulatory and business risk.
Just where do firms draw the line?
Join MCO and Dave Fultz, Director at Optima Partners and former SEC Examiner, for a practical session on today’s SEC regulatory and enforcement focus areas. We’ll cover:
- Current state of the SEC examination process
- SEC examination priorities
- Potential impact of deregulation
- Insight on areas of continued oversight, including Regulation SP, conflicts of interest, third-party oversight and more
About Dave Fultz
Dave Fultz is a Director at Optima Partners, specializing in SEC mock examinations and regulatory response. Leveraging extensive regulatory experience, Dave frequently serves on Optima’s response team during active SEC examinations.
Prior to joining Optima, Dave spent over a decade with the SEC’s Examination Division (EXAMS), where he conducted Investment Adviser examinations within the Private Funds Unit and the Philadelphia Regional Office. His tenure at the SEC began as a Presidential Management Fellow, underscoring his recognized leadership capabilities and regulatory expertise.
Before his career at the SEC, Dave provided cyber readiness support to the U.S. Army Cyber Command, working extensively on national security initiatives. His consulting experience also includes strategic roles with Deloitte, where he supported various federal agencies.
Dave’s professional journey commenced with distinguished military service as a U.S. Army Paratrooper Officer, completing two tours in Afghanistan.
