SEC Hot Topics – Keeping Focused on Top Compliance Priorities
With the changing of the guards at the SEC, the Staff is focusing on the evolution of compliance issues, including cybersecurity, ESG and the way in which advisers are marketing and providing services to their clients.
Summer offers an opportunity to strategically implement changes to your compliance program and plan for necessary changes.
On August 18, Core Compliance & Legal Services, Inc. SM (“Core Compliance”) and Jacko Law Group, PC (“JLG”) are offering exclusively to their clients a lunch and learn session focusing on the latest SEC “hot topics.” Join JLG’s Managing Partner and CEO of Core Compliance Michelle L. Jacko, and Core Compliance’s Sr. Compliance Consultant Janice Powell in a one-hour session where we will discuss recent SEC Risk Alerts, the latest SEC cybersecurity sweep exam, ongoing compliance considerations for telecommuting hybrid models, the new DOL fiduciary guidance for rollovers and top considerations for the SEC’s new Marketing Rule. We will also provide risk management tips on new areas such as ESG investing and proxy voting.