Webinar Replay: 2021 SEC Examination Priorities

Our financial services industry leaders explore 2021 examination priorities and best practices for investment adviser and broker-dealer compliance readiness.

Webinar Link Here

Key Topics and Learning Objectives:

• 2021 Examination Priorities and What We’re Seeing So Far
• How to Identify Common Mistakes and Non-Compliant Practices
• Best Practices for Registered Investment Advisers and Broker-Dealers
• How to Prepare for Your Upcoming Exam

Featured Speakers:
PKF O’Connor Davies
Eric Gelb, CPA, Senior Managing Director
Victor Pena, CPA, Partner
Michael Provini, CPA, Partner, Financial Services

Duff & Phelps, A Kroll Business
Anna Povinelli, Managing Director
Alyssa Heim, Director

CPE is not offered for webinar replays