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X-ORIGINAL-URL:https://www.salusgrc.com/
X-WR-CALNAME:Salus GRC
X-WR-CALDESC:Redefining Excellence
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DTSTART:20260308T030000
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UID:MEC-4588e674d3f0faf985047d4c3f13ed0d@salusgrc.com
DTSTART;TZID=America/New_York:20250318T200000
DTEND;TZID=America/New_York:20280318T200000
DTSTAMP:20250220T120151Z
CREATED:20250220
LAST-MODIFIED:20250702
PRIORITY:5
SEQUENCE:68
TRANSP:OPAQUE
SUMMARY:Common SEC Exam Deficiencies
DESCRIPTION:Join us to hear from experienced industry professionals as they discuss common SEC Exam deficiencies! The panel will tackle topics covering:\nCommon SEC Exam Deficiencies\n\nThe 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.\nMarketing Rule Missteps – Where firms are still struggling with compliance under the SEC’s Marketing Rule, including performance presentations, testimonials, and substantiation requirements.\nCompliance Programs That Don’t Keep Pace – How examiners are scrutinizing outdated policies, lack of testing, and firms that fail to adapt their compliance framework to new regulations and business changes.\nRegulatory Expectations vs.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.\nLessons 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.\n\n
URL:https://www.salusgrc.com/event/common-sec-exam-deficiencies/
CATEGORIES:Webinar,On Demand
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