View video replays below of Stout and Silver Regulatory Associates presenting a “compliance playbook” to navigate recent Office of Compliance Inspections and Examinations (“OCIE”) risk alerts in the COVID-era. The discussions are centered around areas related to valuation, forensic accounting of allocation of fees and expenses, assurance of proper adherence to fund governing documents and overall risk disclosures to investors, and avoidance of the appearance of impropriety and fraud.
Justin Burchett, Managing Director, Stout
Joel E. Cohen, Managing Director, Stout
Larry Block, Managing Director, Counsel and Chief Compliance Officer, Island Capital Group LLC
Fizza Khan, CEO, Silver Regulatory Associates (Moderator)
Jeremy Vaughan, Senior Vice President of Compliance at Starwood Trust, Inc. and Former Staff Accountant, SEC’s Office of Compliance Inspections and Examinations
Part 1: Lessons Learned from the OCIE’s Recent Examination Findings and Best Practices in an Era of Uncertainty
Following the OCIE Risk Alert issued on June 23, 2020 regarding “observations of investment advisers managing private funds,” this discussion offers a deep dive into the OCIE’s findings and practical guidance for firms to proactively detect any potential threats of fraudulent activity or other deficiencies in advance of a routine exam.
August 5, 2020
Part 2: Meeting Heightened Regulator Expectations
As the SEC continues to sharpen its lens on potential heightened risks of misconduct due to COVID-19 and increased market volatility, this second webinar in the series provides a brief overview of the OCIE’s Risk Alert, “Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers” issued on August 12, 2020, as well as firsthand experiences with recent SEC examinations.
September 16, 2020
Part 3: Is Your Firm Under the Lens of the SEC?
In this last episode of the 2020 series, panelists review important highlights of the most recent OCIE Risk Alerts and firsthand experiences with recent SEC examinations and investigations; discuss CCO culture, role, risk and liability; review trading practices and explore recent exposure of risk and litigation; consider how a new administration may impact the regulatory climate for investment managers; and provide practical guidance and a checklist for how to meet regulatory guidelines as we head into 2021.
December 15, 2020