Regulatory Compliance Association Reviews

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

Practice Edge 02

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

Date: July 17, 2014
General Session: 12 Noon to 1:30 PM
Location: Webcast (Free)

Interested in CLE or CPE (A & A hours), attend via the RCA’s Online University (On Demand) – free for Practice Edge Elite Members

To become a Practice Edge Elite Member, Click Here

This session 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.

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

Senior Fellow from Practice:
Chris Wells, JD, CPA,  Partner, Proskauer

Guest Lecturers:
Catherine Smith, JD, General Counsel, Guidepoint Global
Mark Polemeni, JD, Chief Compliance Officer | Asset Management, Citadel, LLC
Dianne Mattioli, JD, Chief Compliance Officer, Hedgemark Securities
Cynthia Marian, JD, LLM, Vice President, CCO & Deputy General Counsel, Tinicum, Inc.