The SEC must sometimes regard its Office of the Inspector General as a relentless cop, always on its tail to find either things it is not doing right or challenges it must meet - perhaps not unlike some advisers and broker-dealers may feel about the SEC itself. Just weeks after issuing a report critical of the agency's time management controls (ACA Insight, 9/30/19), the SEC's internal watchdog has now raised, among other things, its examination coverage of investment advisers and the timeliness of its enforcement investigations.
October 21, 2019[vc_row][vc_column width="1/3"]
Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.
Find out the high court decisions from recent years that are likely to affect how advisers and investment companies work from Debevoise partner Robert Kaplan.
Sutherland law firm partner Brian Rubin shares the most urgent cybersecurity steps for investment advisers.
Get solutions for the top marketing challenges that advisers face from ACA Compliance Group managing director Kimberly Daly
ACA Aponix Director Pascal Busnel on the most common cybersecurity myths that may cause firms to spend resources where they may not be needed.
Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.
Find out from Blue Edge Capital CCO Margaret Fretz what chief compliance officers may be liable for and best practices to make sure you are protected.
Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.