Welcome to the Supplemental Hub
You’ve attended the session, but now you want more information…
Thank you for attending “SEC Examination Hot Topics and Compliance Expectations for 2022” presented by Michelle L. Jacko, CSCP. The discussion shouldn’t stop there. We’ve provided additional materials to help attendees navigate the discussion back with their own organizations.
The Supplemental Hub was designed specifically from the presentation and is catered to help those understand, strategize, and maneuver the SEC’s compliance expectations and hot topics in 2022.
- Presentation Slides – “Be In The Know – SEC Examination Hot Topics and Compliance Expectations for 2022”
- Securities and Exchange Commission 2022 Examination Priorities Report (March 2022)
- NSCP Currents’ Newsletter – “Your Road Map to Leveraging 2021’s SEC Risk Alerts to Prepare for 2022” (January 2022)
- Wolters Kluwer Legal Risk Management Tip – “How Risk Alerts Can Help You Prepare for Your Next Examination” (February 2019)
- IAA Compliance Corner – “Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules And What Then” (January 2021)
- Core Compliance & Legal Services, Inc. Risk Management Update – Investment Adviser Year-End Compliance Checklist (October 2021)
- Jacko Law Group, PC Corporate Communications Newsletter – “Summary of PTE 2020-02 Requirements” (January 2022)
- Division of Examinations Risk Alert – “The Division of Examinations’ Review of ESG Investing” (April 2021)
- Division of Examinations Risk Alert – “Observations from Examinations of Investment Advisers Managing Client Accounts That Participate in Wrap Fee Programs” (July 2021)
- Division of Examinations Risk Alert – “Division of Examinations Observations: Investment Advisers’ Fee Calculations” (November 2021)
- Division of Examinations Risk Alert – “Observations from Examinations of Private Fund Advisers” (January 2022)