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Foreside Connections Webinar: Risky Business-How to Use the SEC’s Risk Alerts to Identify and Fix Potential Compliance Problems


Foreside and special guest McCarter & English discussed the latest SEC Risk Alerts, which address compliance deficiencies found during examinations. These alerts help to educate advisors and warn CCOs about problem areas that examiners will focus on during future examinations.

What you will learn by leveraging these risk alerts and attending this webinar:

  • Understand the SEC’s examination focus areas
  • How to improve your firm’s compliance practices
  • How to tailor your compliance policies and procedures to the risks relevant to your firm

Speakers addressed examples and lessons learned and illustrated what happens to RIAs when they ignore these SEC risk alerts.

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