JOIN US

Tuesday, June 6, 2023 | 10:00 AM ET

Fireside Chat with Natasha Vij Greiner and Peter B Driscoll
Moderated by
Steven Stone, Partner, Morgan Lewis

Immediately followed by: The Breakdown Discussion

Jim Anderson, Partner at Willkie Farr & Gallagher LLP
Stephanie Monaco, Partner at Mayer Brown LLP
Adam DiPaolo, Moderator; Director of Compliance Services at CSS, a Confluence company
Matt Calabro, Executive Director of Compliance Services at CSS, a Confluence company
Jackie Hallihan, Executive Director of Compliance Services at CSS, a Confluence company

Topics to include:

• New and current SEC examination focus areas for 2023
• New focus topics in “Day One” document request letters
• Exam priorities and operating status
• Risk and conflict profile & ranking
• Current initiatives: custody, marketing, outsourcing, ESG, valuation, hedge clause, off-channel communications, recordkeeping, etc.
• Marketing focus: testing performance, hypothetical performance, substantiation, promoters, policies and financial controls
• How can firms best position themselves for successful outcomes
• Understanding practices and industry changes, policy and new rule impact
• What’s new and different in Enforcement
• What’s new in the use of data analytics in examinations
• Mitigating steps to prevent heightened fraud risk in current economic environment
• Looking ahead: Parting Thoughts for Compliance Officers