Overview
This session will consist of two parts. The first will focus on SEC Examination Updates with Louis Gracia, Associate Director from the Chicago Regional Office at 2:00 – 3:00 p.m. The second will focus on Third-Party Due Diligence at 3:00 – 4:00 p.m.
Speaker:
Louis Gracia
Associate Regional Director
U.S. Securities and Exchange Commission
SEC Examination Updates from the Chicago Regional Office
2:00 – 3:00 p.m. (CT)
Understanding what is expected of compliance officers when contacted by a representative of the U.S. Securities and Exchange Commission will enable a firm to be better prepared for an upcoming examination. This session will focus on the SEC Examination process and how it may differ depending on the type and scope of the examination, the size of the firm, and whether it will take place in the field or remotely. Louis Gracia, Associate Regional Director, will also discuss the 2024 National and Chicago Regional Examination priorities.
Learning Objectives:
- Gain a better understanding of the SEC Examination process and the expectations for a firm’s compliance officers
- Learn more about the SEC’s National and Regional Examination priorities
Continuing Education Credits
Recommended CPE Credit: 1 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 1
Recommended CA MCLE Credit: 1
