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