SEC Hot Topic: Compliance Tips for Evaluating Your Firm’s Advisory Fees and Expenses

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.

Learn More and Register Here

Leave a Reply

Your email address will not be published. Required fields are marked *