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UID:20210406T2229Z-1617748166.0987-EO-10600-1@198.46.93.14
STATUS:CONFIRMED
DTSTAMP:20260728T234629Z
CREATED:20210406T133011Z
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DTSTART;TZID=America/New_York:20210506T130000
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SUMMARY: Live Webinar: 2021 SEC Examination Priorities
DESCRIPTION: The U.S Securities and Exchange Commission’s (SEC) Division of
  Examinations recently published its 2021 Examination Priorities. Join our 
 financial services industry leaders to explore 2021 examination priorities 
 and best practices for investment adviser and broker-dealer compliance read
 iness. Key Topics and Learning Objectives: 2021 Examination Priorities and 
 What […]
X-ALT-DESC;FMTTYPE=text/html: <p>The U.S Securities and Exchange Commission
 's (SEC) Division of Examinations recently published its 2021 Examination P
 riorities. Join our financial services industry leaders to explore 2021 exa
 mination priorities and best practices for investment adviser and broker-de
 aler compliance readiness.</p><p><strong>Key Topics and Learning Objectives
 :</strong></p><ul><li>2021 Examination Priorities and What We're Seeing So 
 Far</li><li>How to Identify Common Mistakes and Non-Compliant Practices</li
 ><li>Best Practices for Registered Investment Advisers and Broker-Dealers</
 li><li>How to Prepare for Your Upcoming Exam</li></ul><p><strong>Who Should
  Attend:<br /></strong>Chief Compliance Officers (CCOs)\, Executives of Pri
 vate funds\, including Private Equity\, Venture and Hedge Funds\, General P
 artners (GPs)\, Chief Financial Officers (CFOs)\, Controllers\, General Cou
 nsel and Family Office Executives.</p><p><strong>Host:</strong> <br /><em>P
 KF O'Connor Davies</em> <br /><a href="https://www.pkfod.com/people/eric-ge
 lb/">Eric Gelb</a>\, CPA\, Senior Managing Director</p><p><strong>Featured 
 Speakers:</strong><br /><em>PKF O'Connor Davies</em> <br /><a href="https:/
 /www.pkfod.com/people/michael-provini/">Michael Provini</a>\, CPA\, Partner
 \, Financial Services</p><p><em>Duff & Phelps\, A Kroll Business</em> <br /
 ><a href="https://www.duffandphelps.com/our-team/anna-povinelli">Anna Povin
 elli</a>\, Managing Director <br /><a href="https://www.duffandphelps.com/o
 ur-team/alyssa-heim">Alyssa Heim</a>\, Director</p><p><strong>CPE Credit:</
 strong><br />1 CPE Credit: Specialized Knowledge<br />No prerequisites or a
 dvanced planning required <br />Program Level: Basic / Delivery Method: Gro
 up Internet Based</p>
CATEGORIES:Firm-Hosted Events
ORGANIZER;CN="Acronin -":MAILTO:acronin@pkfod.com
URL;VALUE=URI:https://www.pkfod.com/events/live-webinar-2021-sec-examinatio
 n-priorities/
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DTSTART:20210314T070000
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