SEC-registered investment firms that are adopting the latest SEC regulations are confronting the most substantial changes since the 2008 financial crisis. Firms are often left wondering where they should focus their time and resources to ensure they are compliant.
On a recent webinar, panelists from the Investment Adviser Association and the ACA Group, discussed the current regulatory landscape and SEC audit expectations. Our presenters shared valuable knowledge and practical advice.
Among the topics discussed:
- Off-Channel Communications: Gain insights into recent learnings and compliance assurance
- Cybersecurity Disclosure and REG SP: Understand the latest amendments and heightened focus on cyber-hygiene
- Marketing Rule: Hear the takeaways from SEC’s increased exam focus
