Webinar Replay: 2022 SEC Examination Priorities – A Practical Approach

The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (DOE) recently published its 2022 Examination Priorities. Watch this webinar to explore 2022 examination priorities and best practices for registered investment adviser and broker-dealer compliance readiness.

Watch Replay Here

Key Topics and Learning Objectives:

2022 Examination Priorities and What We’re Seeing So Far

  • Private Fund Compliance
  • Marketing Practices
  • Conflicts of Interest, Disclosures and Allocation of Expenses
  • Cybersecurity and Business Continuity
  • Emerging Technologies and Crypto-Assets
  • ESG (Environmental, Social and Governance) Investing
  • Standards of Conduct: Regulation Best Interest, Fiduciary Duty, Form CRS and Valuation

PKF O’Connor Davies
Eric Gelb, CPA, Senior Managing Director

Chris Lombardy, Managing Director

Featured Speakers:
PKF O’Connor Davies
Michael Provini, CPA, Partner, Financial Services
Victor M. Peña, CPA, CGMA, Partner, Financial Services

Anna Povinelli, Managing Director, Financial Services Compliance and Regulation
Alyssa Heim, Director, Financial Services Compliance and Regulation