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Preparing for and Surviving an Office of Compliance Inspections and Examinations Review

Are You Ready for the SEC to Peer Into Your Firm's Closets?

It is no secret that the SEC, through OCIE, has stepped up its efforts to examine investment advisers' compliance policies and procedures. With this initiative coming on the heels of sweeping changes implemented by Dodd Frank, investment advisors are under increased pressure to make assure they are in compliance with the rules and regulations that govern their conduct under the securities laws. This on-demand webinar will review the policies and procedures that should be in place to maintain compliance with the requirements of the Investment Advisors Act; provide information both on how to best prepare for an OCIE inspection, and how to conduct yourself during an inspection; what happens after the inspection; and finally, how to respond if OCIE and/or enforcement contact you about OCIE's findings.


Runtime: 91 minutes
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Why Lorman?

Over 32 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

Developing and Implementing Compliance Policies and Procedures That Will Withstand Scrutiny During an Office of Compliance Inspections and Examinations' (OCIE) Review

Preparing for an OCIE Examination

What to Expect During an OCIE Investigation From Beginning to End

What Happens After OCIE Leaves Your Office - The Decision Making Process and OCIE's Interaction With the SEC's Enforcement Division

Responding to OCIE Deficiency Letters and/or an Inquiry From Enforcement

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Why Lorman?

Over 32 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

OnDemand Webinar

This course was last revised on July 31, 2014.

Call 1-866-352-9540 for further credit information.

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

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Why Lorman?

Over 32 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Faculty

Bridget Moore

Bridget Moore

Baker Botts L.L.P.

  • Partner at Baker Botts L.L.P.
  • Practice focuses on securities enforcement, internal investigations and white collar defense
  • Helps clients resolve enforcement matters brought by the Securities and Exchange Commission (SEC)
  • Previously worked as a staff attorney in the Division of Enforcement at the SEC
  • Recommended in The Legal 500 U.S., 2013
  • Recognized by Washington, D.C. Super Lawyers as a Rising Star, 2013 and 2014
  • SEC Division Director’s Award for Trial Work, 2002
  • Was short listed as one of five national finalists for the Up and Coming Regulatory Lawyer of the Year award presented by Chambers USA (2012)
  • J.D. degree, cum laude, Catholic University of America Columbus School of Law; B.B.A. degree in business, Loyola College
Seth T. Taube

Seth T. Taube

Baker Botts L.L.P.

  • Partner at Baker Botts L.L.P.
  • Concentrates in securities and commercial litigation, SEC defense, corporate governance and white collar criminal defense
  • Has extensive experience in securities-related regulatory and internal investigations as well as securities and international arbitrations
  • Firm wide chair of the Securities and Shareholder Litigation Practice Group and head of the Trial Section in the New York office of Baker Botts L.L.P.
  • Has taught courses on mergers, acquisitions and corporate litigation as an adjunct professor of law at Seton Hall Law School
  • Has spoken and written on many topics related to his areas of expertise
  • Listed in The Best Lawyers in America; recognized as a New York Super Lawyer; named Client Service All-Star in BTI’s 2012 Client Service Survey
  • J.D. degree, cum laude, Benjamin N. Cardozo School of Law; B.A. degree, magna cum laude, Queens College
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Why Lorman?

Over 32 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

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Product ID: 394204
Published 2014
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