Resources Search:

Title

Webcast: How to Reduce the Risk That Your OCIE Exam Becomes an Enforcement Investigation
1.0 CLE Credit(s): CA – General; NY – Professional Practice / Practice Management

Created date

12/5/2017

Please join us for an in-depth discussion of Office of Compliance Inspection and Examinations (OCIE) examinations and best practices for mitigating the risk associated with those examinations, including:

  • How the SEC is prioritizing OCIE exams, increasing risks for investment advisers
  • An analysis of OCIE’s exam priorities
  • Common issues in OCIE exams which lead to enforcement actions
  • How to spot and manage higher risk issues as they arise in OCIE exams

View Webcast

 WEBCAST SLIDES 

 CLE FORM