October 24 – 26, 2023 | Philadelphia, PA | Speaker: Michelle L. Jacko, CSCP, CEO
Michelle L. Jacko, CEO, will be speaking at the Schwab IMPACT 2023 Conference in Philadelphia, PA. Her presentation, “How to Comply with the Latest SEC Rules and Prepare for Year End,” will help you get up to date on SEC rules for protecting client data and assets so you can manage disclosure, compliance, and year-end preparations.
Session details:
The SEC has proposed new rules for safeguarding client information and assets. The Department of Examinations also is focusing on cybersecurity risk management, the SEC marketing rule, customer records at branch offices, electronic communications, and disclosure and compliance controls. Advisors starting to prepare for the end of the year will gain an understanding of:
- Compliance frameworks for protecting client information and assets per new rule proposals
- Best practices for handling the latest compliance hot topics, including cybersecurity, electronic communications, and the SEC’s Adviser Marketing Rule
- How to prepare for an SEC examination based on 2023 Risk Alerts
- Practical tips for implementing compliance program enhancements and controls by year-end