Webcast: How to Reduce the Risk That Your OCIE Exam Becomes an Enforcement Investigation
1.0 CLE Credit(s): CA – General; NY – Professional Practice / Practice Management
December 5, 2017
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
WEBCAST SLIDES 
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