Recorded Webinar

Recorded Webinar: 2020 SEC Exam Priorities

We have partnered with Focus 1 Associates to bring you a detailed webinar focusing on the changes your firm can expect in 2020.

The U.S. Securities Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its 2020 examination priorities on January 7, 2020.

View the recording to gain insight into these regulatory changes:

• Form CRS – Mastering the new two-page disclosure document
• SEC Priorities – Preparing for current exam priorities
• Proxy Voting – Overview of new policy and due diligence requirements
• Advertising and Solicitation – Anticipating proposed changes

Access the presentation PDF