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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