Please join us on Wednesday, March 13, 2019 for an interactive discussion and gain insights on how to best prepare for the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE). The OCIE has reported that in 2019 their priorities will be focused on matters of importance to retail investors, including fees, conflicts of interest, senior investors, etc. In addition, critical market infrastructure, digital assets, cybersecurity and anti-money laundering will be subject to OCIE examination.
Our complimentary workshop will spotlight risk-reducing strategies and best practices.
Two times are being offered for your convenience: 8:30 a.m. – 10:30 a.m. or 4:30 p.m. – 6:30 p.m.
Continental breakfast will be served in the morning and snacks in the afternoon.
PKF O’Connor Davies, LLP
665 Fifth Avenue, 7th Floor
(Entrance on 53rd between 5th & Madison)
New York, NY 10022
Who Should Attend
Registered Investment Advisors, Investment Professionals at Broker-Dealers, Chief Compliance Officers (CCOs), Investment Fund Executives (e.g., hedge, private equity and venture capital), General Partners (GPs), Chief Financial Officers (CFOs), Controllers, General Counsel.
Key Topics and Learning Objectives:
• The details of the SEC’s OCIE 2019 Examination Priorities
• Requirements for portfolio management of digital assets and cybersecurity
• Identification of common mistakes and non-compliant practices
• Disclosure and calculation of fees and expenses
• Best practices for portfolio management − operations, policies, procedures and controls
PKF O’Connor Davies Featured Speakers
Michael Provini, Partner, Financial Services
Victor Pena, Partner, Financial Services
2 CPE credits in Specialized Knowledge. No prerequisites or advanced planning required.
Program Level: Intermediate
Delivery Method: Group-Live
Register today as seating is limited. To register for the workshop, contact Eric Gelb at [email protected] or 914.341.7049.
PKF O’Connor Davies is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State Boards of Accountancy have the final authority on the acceptance of individual courses for CPE Credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org. For information regarding complaint and/or program cancellation policies, please contact the Firm’s CPE Administrator at 914.381.8900.