Please join us for an in-depth discussion of Office of Compliance Inspection and Examinations (OCIE) examinations and best practices for mitigating the risk associated with those examinations, including:

  • How the SEC is prioritizing OCIE exams, increasing risks for investment advisers
  • An analysis of OCIE’s exam priorities
  • Common issues in OCIE exams which lead to enforcement actions
  • How to spot and manage higher risk issues as they arise in OCIE exams
     

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