SEC Examination Priorities and Focus Areas for 2020

Date: 
January 22, 2020 - 11:00 am to 12:00 pm
Type: 
Webcast
Division: 
Investment Adviser Private Fund Investment Company Broker-Dealer General
Speaker(s): 
Carlo di Florio, Leigh Emery, Mark Lawler

On January 7, 2020, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) announced its examination priorities for 2020. The priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks.

Please join us Wednesday, January 22 at 11am ET for a live webcast discussion about the SEC’s 2020 examination priorities and what they may mean for you. 

Speakers:

  • Carlo di Florio, Partner, Global Chief Services Officer, ACA Compliance Group
  • Leigh Emery, Senior Principal Consultant, ACA Compliance Group
  • Mark Lawler, Senior Principal Consultant, ACA Compliance Group

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 2019 webcast is complimentary.

 

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