2024 SEC Focus: Navigating New Compliance Horizons for RIAs, Private Fund Advisors & Broker Dealers

Hosted by Renaissance Regulatory Services
March 7, 2024
1:00 PM - 2:00 PM ET
Webcast

During the webcast, we will delve into the SEC's shifting focus for 2024, providing crucial insights into areas like information security, emerging financial technologies, and compliance regulations. This session is designed to equip compliance officers at Broker Dealers, Registered Investment Advisors, and Private Fund Advisors with the latest updates and strategies for navigating the evolving regulatory landscape. We'll offer a detailed analysis of the SEC's heightened scrutiny on investment advisor duties, the specific challenges facing private fund advisors, and the rigorous compliance expectations for broker-dealers. Additionally, the webcast will provide practical guidance on preparing for SEC examinations, ensuring that your firm's compliance frameworks are robust and up-to-date.

  • SEC 2024 Priorities: Overview of new focus areas.
  • Investment Advisor Duties: Examining SEC expectations.
  • Challenges for Private Fund Advisors: Key compliance aspects.
  • Broker-Dealer Compliance: Navigating regulatory demands.
  • SEC Examination Preparedness: Strategies for successful compliance.

Speakers

  • Louis Dempsey

    Title
    Founder and President
    @
    Company
    Renaissance Regulatory Services
    Role
    Speaker

    Louis Dempsey is the founder and President of Renaissance Regulatory Services, Inc. a full service-consulting firm that offers a wide range of regulatory compliance consulting services to broker-dealers and registered investment advisers. Louis has over thirty years of public/private sector regulatory compliance and operations experience, which includes a unique combination of experience in advising and examining broker-dealers, investment advisers and bank holding companies relative to federal, state, and self-regulatory rules and regulations. He has served as an expert witness and independent consultant on numerous regulatory matters that include SEC, DOJ, FINRA, and State enforcement proceedings. He began his career in the industry with the Florida Office of Financial Regulation, Division of Securities and served twice on the staff of the SEC as a Staff Accountant and Branch Chief.

  • Jennifer Selliers

    Title
    Director, Senior Consultant
    @
    Company
    Renaissance Regulatory Services
    Role
    Speaker

    Jennifer Selliers brings over 20 years of successful experience, overseeing administration and compliance of diverse financial initiatives within small, medium and large organizations (private and public). Her areas of expertise include compliance program development, policies and procedures formation and risk and control assessments. Jennifer holds a Bachelor of Science in Business Finance from the University of Phoenix and a Master of Public Service Management from Cumberland University, in addition to other professional designations.  Jennifer is a current, contributing member of the National Society of Compliance Professionals (NSCP) and an adjunct professor at Fordham Law, Program on Corporate Ethics and Compliance (PCEC).  Apart from her professional aspirations, Jennifer enjoys backpacking and hobby-farming in Tennessee with her husband and two sons.

About

Renaissance Regulatory Services

Renaissance Regulatory Services, Inc. provides comprehensive regulatory, compliance, and operational consulting and support services to investment advisers, broker-dealers, private funds, investment companies, and banks. Our staff has the experience and insight to meet all your compliance needs. We specialize in SEC, FINRA and State compliance examinations, written supervisory procedures, internal controls testing, regulatory reporting, and registration services. RRS has also served as an independent consultant on a wide range of regulatory undertakings for investment advisers, broker-dealers and other financial institutions as well as providing litigation support in regulatory matters. Our services are customized to fit each firm’s unique operations and can be performed onsite or remotely. RRS’ consultants and partners consist of former regulators and compliance professionals who have extensive experience with SEC, FINRA, and state rules and regulations. www.RRSCompliance.com