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UID:20220428T0122Z-1651108960.15-EO-12973-1@127.0.0.1
STATUS:CONFIRMED
DTSTAMP:20260821T000818Z
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DTSTART;TZID=America/New_York:20220517T130000
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SUMMARY: Live Webinar: 2022 SEC Examination Priorities – A Practical Approa
 ch
DESCRIPTION: The U.S. Securities and Exchange Commission’s (SEC) Division o
 f Examinations (DOE) recently published its 2022 Examination Priorities. Jo
 in our financial services industry leaders to explore 2022 examination prio
 rities and best practices for registered investment adviser and broker-deal
 er compliance readiness. Key Topics and Learning Objectives: 2022 Examinati
 on Priorities […]
X-ALT-DESC;FMTTYPE=text/html: <p>The U.S. Securities and Exchange Commissio
 n's (SEC) Division of Examinations (DOE) recently published its 2022 Examin
 ation Priorities. Join our financial services industry leaders to explore 2
 022 examination priorities and best practices for registered investment adv
 iser and broker-dealer compliance readiness.</p><p><strong>Key Topics and L
 earning Objectives:</p><p>2022 Examination Priorities and What We’re Seeing
  So Far</strong></p><ul><li>Private Fund Compliance</li><li>Marketing Pract
 ices</li><li>Conflicts of Interest\, Disclosures and Allocation of Expenses
 </li><li>Cybersecurity and Business Continuity</li><li>Emerging Technologie
 s and Crypto-Assets</li><li>ESG (Environmental\, Social and Governance) Inv
 esting</li><li>Standards of Conduct: Regulation Best Interest\, Fiduciary D
 uty\, Form CRS and Valuation</li></ul><p><strong>Who Should Attend: <br /><
 /strong>Registered Investment Advisors\, Chief Compliance Officers (CCOs)\,
  Executives of Private Funds\, including Private Equity\, Venture\, Hedge a
 nd Crypto Currency Funds\, General Partners (GPs)\, Limited Partners (LPs)\
 , Chief Financial Officers (CFOs)\, Controllers\, General Counsel and Famil
 y Office Executives.</p><p><strong>Hosts: <br /></strong><em>PKF O'Connor D
 avies <br /></em><a href="https://www.pkfod.com/people/eric-gelb/">Eric Gel
 b</a>\, CPA\, Senior Managing Director</p><p><em>Kroll<br /></em><a href="h
 ttps://www.kroll.com/en/our-team/chris-lombardy">Chris Lombardy</a>\, Manag
 ing Director</p><p><strong>Featured Speakers:</strong><br /><em>PKF O'Conno
 r Davies <br /></em><a href="https://www.pkfod.com/people/michael-provini/"
 >Michael Provini</a>\, CPA\, Partner\, Financial Services<br /><a href="htt
 ps://www.pkfod.com/people/victor-pena/">Victor M. Peña</a>\, CPA\, CGMA\, P
 artner\, Financial Services</p><p><em>Kroll<br /></em><a href="https://www.
 kroll.com/en/our-team/anna-povinelli">Anna Povinelli</a>\, Managing Directo
 r\, Financial Services Compliance and Regulation<br /><a href="https://www.
 kroll.com/en/our-team/alyssa-heim">Alyssa Heim</a>\, Director\, Financial S
 ervices Compliance and Regulation</p><p><strong>CPE Credit: <br /></strong>
 1 CPE Credit: Specialized Knowledge<br />No prerequisites or advanced plann
 ing required<br />Program Level: Basic / Delivery Method: Group Internet Ba
 sed</p><p>For information regarding complaint and/or program cancellation p
 olicies\, please contact the PKF O'Connor Davies CPE Firm Administrator at 
 914.381.8900.</p>
CATEGORIES:Firm-Hosted Events
ORGANIZER;CN="Acronin -":MAILTO:acronin@pkfod.com
URL;VALUE=URI:https://www.pkfod.com/events/live-webinar-2022-sec-examinatio
 n-priorities-a-practical-approach/
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