Virtual Investment Adviser Compliance Officer Roundtable

Date: 
January 14, 2021 - 11:00 am to 12:30 pm
Type: 
Roundtable
Division: 
Investment Adviser

Join ACA Compliance Group and Sidley Austin for an engaging live webcast with the Director and Deputy Director of the Securities and Exchange Commission (SEC) Division of Examinations. Together, we'll discuss the SEC’s exam priorities and how investment advisers can successfully navigate regulatory priorities.   

Our panelists are Peter Driscoll, Director, SEC Division of Examinations, Kristin Snyder, Deputy Director, SEC Division of Examinations, Carlo di Florio, Chief Services Officer, ACA Compliance Group, Laurin Blumenthal Kleiman, Partner, Sidley Austin, and Simon Saddleton, Partner, Sidley Austin.

Discussion Topics

Among other topics, the discussion will explore:

  • How the COVID-19 pandemic has shaped and changed the way the SEC is conducting exams
  • The key risks and deficiencies the SEC Division of Examinations noted in investment adviser compliance programs in 2020
  • Division of Examinations priorities
  • Private Funds Unit priorities
  • The importance of technology and data analytics in compliance programs and how the Division of Examinations is leveraging technology within exams
  • Cybersecurity risk and the critical need for operational resilience in times of disruption following the pandemic
  • Division of Examinations objectives regarding ESG and what firms exploring ESG should consider
  • Status of the moratorium on new registrations in the UK/EU and Asia in light of local privacy laws
  • Views on electronic delivery of required documents
  • Examining advisers who decide to abandon a physical “principal office and place of business” and work 100% remotely

*CLE Pending

Speakers

  • Peter Driscoll, Director, Division of Examinations, U.S. Securities and Exchange Commission
  • Kristin Snyder, Deputy Director, Division of Examinations, U.S. Securities and Exchange Commission
  • Carlo di Florio, Chief Services Officer, ACA Compliance Group
  • Laurin Blumenthal Kleiman, Partner, Sidley Austin LLP
  • Simon Saddleton, Partner, Sidley Austin LLP

We encourage you to prepare questions for the speakers. You may submit your questions live during the broadcast through the webcast platform. Alternatively, you may submit your questions in advance by emailing chevents@sidley.com no later than Tuesday, January 12, and we will ask them anonymously during the program.