Be in the Know: SEC Examination Priorities (Part 1)

Schwab Compliance Web Event | February 17, 2021 | Speakers: Michelle L. Jacko 

On February 17, 2021 CEO Michelle Jacko will be presenting an exclusive Schwab “Be in the Know” two-part presentation web series addressing concerns of Q1 within the industry.

In “Part 1: Be in the Know: SEC Examination Priorities” the discussion will focus on the highly anticipated SEC’s newly released Examination Priorities, recent SEC Risk Alerts and examination focus areas (such as business continuity plans and supervisory controls in response to the pandemic).