Please join us on Wednesday, March 25th, for a complimentary workshop to learn best practices and the key areas that SEC and FINRA examiners are likely to focus on this year.
Two times are being offered for your convenience
8:30 a.m. – 10:30 a.m.
4:30 p.m. – 6:30 p.m.
(Continental breakfast will be served for morning sessions 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
Key Topics and Learning Objectives
- Understand the various SEC OCIE 2020 Examination Priorities
- Gain Insights on RIA (Registered Investment Advisor) and Broker-Dealer best practices
- Learn about SEC’s key drivers regarding investment advisor’s fiduciary duties
- Understand the requirements for portfolio management of digital assets and cybersecurity
- Identify common mistakes and non-compliant practices
- Understand the importance of proper disclosure of fees and expenses
- Become familiar with conflicts of interest, treatment of senior investors and matters of importance to retail investors
- Identify portfolio management and trading best practices, including trade allocation
- Learn how to identify the examination priorities surrounding broker-deals
Who Should Attend
Chief Compliance Officers (CCOs), hedge, private equity and venture fund executives, General Partners (GPs), CFOs, controllers, general counsel and Family Office executives.
PKF O’Connor Davies Financial Services
Michael Provini, CPA, Partner
Victor Pena, CPA, CGMA, Partner
CPE Credits will be determined and available to receive at the conference.
Register today as seating is limited. To register and for any questions relating to the workshop, please contact Eric Gelb at email@example.com 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.nasba registry.org. For information regarding complaint and/or program cancellation policies, please contact the Firm’s CPE Administrator at 914.381.8900.