BEGIN:VCALENDAR VERSION:2.0 PRODID:-//PKF O'Connor Davies//NONSGML Events//EN CALSCALE:GREGORIAN X-ORIGINAL-URL:https://www.pkfod.com/events/ X-WR-CALDESC:PKF O'Connor Davies - Events BEGIN:VEVENT UID:20190225T1932Z-1551123141.97-EO-4222-1@198.46.93.14 STATUS:CONFIRMED DTSTAMP:20240328T155504Z CREATED:20190225T134651Z LAST-MODIFIED:20230417T153802Z DTSTART;TZID=America/New_York:20190313T163000 DTEND;TZID=America/New_York:20190313T183000 SUMMARY: Best Practices Workshop: The SEC’s OCIE 2019 Examination Prioritie s – PM Session DESCRIPTION: Please join us on Wednesday\, March 13\, 2019 for an interacti ve discussion and gain insights on how to best prepare for the Securities a nd Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE). The OCIE has reported that in 2019 their priorities will be focused […] X-ALT-DESC;FMTTYPE=text/html:
Please join us on Wednesday\, March 13\, 2 019 for an interactive discussion and gain insights on how to best prepare for the Securities and Exchange Commission's Office of Compliance Inspectio ns and Examinations (OCIE). The OCIE has reported that in 2019 their priori ties will be focused on matters of importance to retail investors\, includi ng fees\, conflicts of interest\, senior investors\, etc. In addition\, cri tical market infrastructure\, digital assets\, cybersecurity and anti-money laundering will be subject to OCIE examination.
Our complimentary wo rkshop will spotlight risk-reducing strategies and best practices.
Tw
o 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 morni
ng and snacks in the afternoon.
Place
PKF O'Con
nor Davies\, LLP
665 Fifth Avenue\, 7th Floor
(Entrance on 53rd b
etween 5th & Madison)
New York\, NY 10022
Who Should Att
end
Registered Investment Advisors\, Investment Professionals
at Broker-Dealers\, Chief Compliance Officers (CCOs)\, Investment Fund Exe
cutives (e.g.\, hedge\, private equity and venture capital)\, General Partn
ers (GPs)\, Chief Financial Officers (CFOs)\, Controllers\, General Counsel
.
Key Topics and Learning Objectives:
• The det
ails of the SEC's OCIE 2019 Examination Priorities
• Requirements for
portfolio management of digital assets and cybersecurity
• Identificat
ion of common mistakes and non-compliant practices
• Disclosure and ca
lculation of fees and expenses
• Best practices for portfolio manageme
nt − operations\, policies\, procedures and controls
PKF O'Co
nnor Davies Featured Speakers
Michael Provini\, Partner\, Fin
ancial Services
Victor Pena\, Partner\, Financial Services
2 CPE credits in Specialized Knowledge. No prerequisit
es or advanced planning required.
Program Level: Intermediate
Del
ivery Method: Group-Live
Registration
Register
today as seating is limited. To register for the workshop\, contact Eric Ge
lb at egelb@pkfod.com or 914.341.7049.
PKF O'Connor Davies is registered with the National Association of S tate Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State Boards of Account ancy have the final authority on the acceptance of individual courses for C PE Credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.o rg. For information regarding complaint and/or program cancellation policie s\, please contact the Firm's CPE Administrator at 914.381.8900.
CATEGORIES:Firm-Hosted Events LOCATION:PKF O'Connor Davies GEO:40.760114;-73.975617 ORGANIZER;CN="Sandy Carroll":MAILTO:scarroll@pkfodd.wpenginepowered.com URL;VALUE=URI:https://www.pkfod.com/events/best-practices-workshop-the-secs -ocie-2019-examination-priorities-pm-session/ END:VEVENT BEGIN:VTIMEZONE TZID:America/New_York BEGIN:DAYLIGHT TZOFFSETFROM:-0500 TZOFFSETTO:-0400 DTSTART:20190310T070000 TZNAME:EDT END:DAYLIGHT END:VTIMEZONE END:VCALENDAR