With the new administration hitting pause on any new rule making, and the Division of Examinations announced 2021 exam priorities, what can we expect this year?
Krista Zipfel gives a brief update on where things stand. Watch the recording to hear directly from two Chief Compliance Officers who have recently undergone an SEC examination.
Learn more about:
- Sequence and timeline
- Document requests
- Management and staff virtual interviews
- Key takeaways from the exam
- What the SEC didn’t ask
- Addressing staff findings