Regulatory Compliance Association Reviews

Emerging SEC Examination and NFA Audit Practice – Recent Case Studies™

Practice Edge 02

Date: July 21, 2015
General Session: 12 Noon to 1:30 PM
Location: Webcast (Free)

Interested in Continuing Compliance Education™, CLE or CPE (A & A hours)? Attend via the RCA’s Online University (On Demand) — free for Practice Edge Elite Members

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This course will discuss current SEC, CFTC and NFA examination priorities and experiences. Key examination priorities identified in recent announcements by the SEC staff include conflicts of interest; dual registrants; custody; valuation; managers advertising under Rule 506(c); past performance reporting; marketing; trade allocations; fund expenses; and technology. We will discuss the SEC’s presence exam program and its never before examined adviser program, with particular focus on recent experiences of advisers being examined. We will also discuss potential future SEC and NFA examination priorities, such as high speed trading, quantitative trading models and cybersecurity.

Students will master the following at the conclusion of this session:

  • Identify key SEC and NFA Examination Priorities for 2015 and how these priorities have changed
  • Understand more about the role of the Quantitative Analytics Unit within OCIE
  • Identify triggers for NFA and SEC exams
  • Appreciate how to prepare for and respond to SEC and NFA exams
  • Hear about recent experiences in SEC and NFA exams

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Christopher Wells, JD, Partner, Proskauer

Guest Lecturers:

James Capezzuto, JD, CCO, Oppenheimer Asset Management
Patricia Cushing, CPA, Director, Compliance, NFA
Bruce Karpati, JD, Global CCO & Director, Counsel, KKR & Co.
Dianne Mattioli, JD, President, Regulatory Compliance Solutions Group
Mark Polemeni, JD, CCO & Associate General Counsel, Citadel

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