Seminar March 7-8, 2019

21st Annual IA Compliance: The Full 360° View East

Event Detail
Kimberly Kiefer Peretti
March 7-8, 2019
The Mayflower Hotel
Washington, D.C.

Kim Peretti will be a speaker for the session “Beyond Bits and Bytes: Cybersecurity Guidance to Deter Continuing Threats.”

Cybersecurity is on the minds of advisory firms and regulators alike. Cyber has been flagged as the single biggest compliance concern at SEC-registered investment advisers for a number of years running. A $1 million fine against a dual registrant for poor cyber controls has only heightened that concern. And OCIE has signaled that a new cybersecurity sweep exam is in the offing. This session will address the latest on the current cyber threat environment, the SEC’s expectations for compliance, and best practices you can employ right now.

Attendees of this conference will hear the latest on regulatory changes and gain best practices sure to strengthen your compliance program. The conference will allow you to:

  • Get plugged in by hearing directly from key regulators on what’s coming your way
  • Prepare your shop for OCIE’s evolving exam priorities
  • Arm yourself with disclosure standards to avoid enforcement troubles

Other highlights include:

  • Take-home tips to spot hidden conflicts of interest within your firm
  • Tips to ready your firm for heightened scrutiny from regulators on how you handle senior clients
  • Gain clarity on where the SEC’s headed with new fiduciary duty rules and disclosures
  • Hear peers describe harrowing experiences that tested the bounds of their business continuity plans to the breaking point — so you can stay calm during the worst possible times!

For more information, click here.


Meet The Speaker
Media Contacts
Nicholas Clarke
Senior Communications Manager
Phone: 212.210.1222
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