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This years focus, which will be addressed by examination staff, will be safeguarding investors assets and mitigating and managing risks.
We have crafted this years agenda around the challenges that compliance professionals may be facing as a result of recent market conditions and events, and having limited resources for compliance programs, said Lori Richards, director of the office of compliance inspections and examinations at the SEC.
Among the focus areas of discussion will be firms procedures for safeguarding client assetsan area of particular scrutiny for SEC examiners, Richard continued. The SEC has brought numerous enforcement actions in recent months involving Ponzi schemes and other forms of theft, underscoring the need for advisors to have strong controls.
This years regional seminars will be available via live audio and video webcast, as in-person attendance is limited. Instructions for registering are available at: