Tips and Trends to Help Advisers Prepare for SEC Examinations
03.04.2021
Event Sponsor: 2021 IAA Investment Adviser Compliance Conference
Managing Partner and CEO Michelle L. Jacko will be speaking on "Tips and Trends to Help Advisers Prepare for SEC Examinations," for the 2021 IAA Investment Adviser Compliance Conference on March 4th, 2021.
The session will help listeners understand exam trends in the COVID environment, common deficiencies, recent focus areas, and what to expect when examiners look at Form CRS and LIBOR issues.