New York, NY, May 13, 2016 --(PR.com
)-- On January 11, 2016, the SEC's Office of Compliance Inspections and Examinations (OCIE) announced its examination priorities for this year. The 2016 examination priorities are organized around the three thematic areas: (1) examining matters of importance to retail investors, including investors saving for retirement; (2) assessing issues related to market-wide risks; and (3) using data analytics to identify and examine registrants that may be engaged in illegal activity. The OCIE identified new areas of focus related to these priorities, which include liquidity controls, product promotions, exchange-traded funds and variable annuities. There will also be a continuing focus directed on cybersecurity, microcap fraud, fee selection and reverse churning.
These examination priorities impact most security industry participants including registered investment advisers, broker dealers, registered investment companies, and transfer agents. Although the OCIE indicated that the list is not exhaustive, the affected professionals are recommended to review and update their compliance practices based on the specified areas mentioned in preparation for a SEC examination.
In this two-hour live webcast, a panel of distinguished professionals and thought leaders will help security industry professionals and companies understand the 2016 SEC Examination Priorities. Speakers will also offer best practices to ensure compliance and preparedness in the event of an examination.
In a two-hour live webcast, the speakers will discuss:
- Purpose and Thematic Focus of 2016 Examination
- Protecting Retail Investors and Investors Saving for Retirement
- Assessing Market-Wide Risks
- Using Data Analytics to Identify Signals of Potential Illegal Activity
- Other Initiatives
- Impact on Security Industry Participants
- Best Compliance Practices
Proskauer Rose LLP
Brian L. Friedman
Sadis & Goldberg LLP
Lance S. Friedler
Stern Tannenbaum & Bell LLP
Aegis J. Frumento
Mona Shah & Associates
Omar Hakim, Esq.
For an updated list of the faculty panel, please visit: https://theknowledgegroup.org/all-events-list/live-webcasts/event-homepage/?event_id=1780
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group brings together the world's leading authorities and industry participants through informative two-hour webcasts that study the impact of changing regulations and help businesses succeed through proper regulatory compliance. Visit http://theknowledgegroup.org/ for further information and inquiry.