Conference Materials

2023

RIA Risk and Compliance

Monday, May 1, 2023 3:30 PM - 4:30 PM

Speaker

Christine Fornes

Session Description

Learn how to prepare and position your firm for a successful SEC exam. In this session you will hear about the SEC’s “hot topics” and what specific areas they are focusing on in exams of registered investment advisers. We will discuss recent risk alerts the SEC has issued based on examination findings, and how these can help you prepare for an exam of your firm.

Session Material

Session Material