Events

Webcast Replay - SEC 2022 Examination Priorities and Proposed Rules

Event

March 15, 2022

SEC 2022 Examination Priorities and Proposed Rules – Practical Solutions and In-Depth Analysis from Kroll’s Financial Services Leaders Play

Significant regulatory demands are on the horizon for U.S. private fund managers. In this webcast, Kroll Institute Fellows Ken C. Joseph and David Larsen provided guidance on the steps and strategies investment advisers should be implementing now to assess and mitigate the impact and compliance risk posed by the U.S. SEC’s 2022 Examination Priorities and Enforcement Agenda. Ken and David also reviewed the multitude of proposed private fund prohibitions and obligations that, if enacted, could dramatically alter the economics, risks, operations and regulatory mandates imposed upon fund managers. 

Beyond providing an analysis of the expected SEC examination priorities and proposed private fund rules, our fund advisory experts provided practical, best practices guidance on how managers should bolster their compliance infrastructure to face the emerging regulatory landscape.

Key Takeaways

  • 2022 examination priorities and current status
  • How to identify common mistakes and non-compliant practices
  • Best practices for registered investment advisers
  • How to prepare for your upcoming exam
  • Overview and potential impact of proposed new rules

Speakers

SEC 2022 Examination Priorities and Proposed Rules – Practical Solutions and In-Depth Analysis from Kroll’s Financial Services Leaders Play
/en-ca/our-team

People

How we can help

Financial Services Compliance and Regulation

Financial Services Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.

Alternative Asset Advisory

Alternative Asset Advisory

Heightened regulatory concerns and vigilance, together with increased investor scrutiny, have led to increased demand for independent expert advice.

Investigations and Disputes

Investigations and Disputes

World-wide expert services and tech-enabled advisory through all stages of diligence, forensic investigation, litigation, disputes and testimony.

SEC Mock Examination Services

SEC Mock Examination Services

We have devised a methodical approach to preparing for and navigating any SEC examination.

SEC Registration

SEC Registration

Kroll has an experienced team in the U.S. and other global jurisdictions who has helped firms to become SEC registered and advised on exemption requirements.

Significant regulatory demands are on the horizon for U.S. private fund managers. In this webcast, Kroll Institute Fellows Ken C. Joseph and David Larsen will provide guidance on the steps and strategies investment advisers should be implementing now to assess and mitigate the impact and compliance risk posed by the U.S. SEC’s 2022 Examination Priorities and Enforcement Agenda. Ken and David will also review the multitude of proposed private fund prohibitions and obligations that, if enacted, could dramatically alter the economics, risks, operations and regulatory mandates imposed upon fund managers. 

Beyond providing an analysis of the expected SEC examination priorities and proposed private fund rules, our fund advisory experts will provide practical, best practices guidance on how managers should bolster their compliance infrastructure to face the emerging regulatory landscape.

Key Topics

 

  • 2022 examination priorities and current status
  • How to identify common mistakes and non-compliant practices
  • Best practices for registered investment advisers
  • How to prepare for your upcoming exam
  • Overview and potential impact of proposed new rules

Speakers

How we can help

Financial Services Compliance and Regulation

Financial Services Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.

Alternative Asset Advisory

Alternative Asset Advisory

Heightened regulatory concerns and vigilance, together with increased investor scrutiny, have led to increased demand for independent expert advice.

Investigations and Disputes

Investigations and Disputes

World-wide expert services and tech-enabled advisory through all stages of diligence, forensic investigation, litigation, disputes and testimony.

SEC Mock Examination Services

SEC Mock Examination Services

We have devised a methodical approach to preparing for and navigating any SEC examination.

SEC Registration

SEC Registration

Kroll has an experienced team in the U.S. and other global jurisdictions who has helped firms to become SEC registered and advised on exemption requirements.

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