2021 IAA Investment Adviser Compliance Conference | March 5, 2021 | Speakers: Michelle L. Jacko and Janice Powell
CEO Michelle L. Jacko and Senior Compliance Consultant Janice Powell will be speaking on “SEC Hot Topic: Compliance Tips for Evaluating Your Firm’s Advisory Fees and Expenses,” for the 2021 IAA Investment Adviser Compliance Conference on March 5th, 2021.
The session will help listeners learn about:
- The SEC’s guidance on the most common compliance issues involving advisory fees and expenses;
- Common exam document requests;
- Best practices and tips to consider for evaluating your firm’s advisory fees and expenses; and
- The latest SEC exam questions related to advisory fee structures.