Common SEC Exam Deficiencies
Join us to hear from experienced industry professionals as they discuss common SEC Exam deficiencies! The panel will tackle topics covering:
Common SEC Exam Deficiencies
- The Shifting Landscape of SEC Exams –SEC exam priorities have evolved over the past year, including the most common focus areas and unexpected trends firms should prepare for.
- Marketing Rule Missteps – Where firms are still struggling with compliance under the SEC’s Marketing Rule, including performance presentations, testimonials, and substantiation requirements.
- Compliance Programs That Don’t Keep Pace – How examiners are scrutinizing outdated policies, lack of testing, and firms that fail to adapt their compliance framework to new regulations and business changes.
- Regulatory Expectations vs. Reality – Key areas where firms think they are compliant but fall short in SEC exams, from conflicts of interest management to oversight of third-party vendors.
- Lessons from the Field: What Separates Strong Compliance Programs from Deficient Ones – Real-world insights from Salus GRC consultants, our Law Firm Partner and CCO Panelist, on what firms are doing right, what’s leading to deficiencies, and best practices to stay ahead of regulatory scrutiny.
