transcript   Transcript

Compliance Inspections and Examinations

Recorded on: Feb. 27, 2018
Running Time: 01:03:46

Full Transcript:



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Taken from the Program The SEC Speaks in 2018 Recorded February 2018 in Washington, D.C.

Compliance Inspections and Examinations [01:03:46]
  • 2018 Examination Priorities

Speakers:

Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations
Jessica Kane, Acting Director, Office of Credit Ratings
Keith E. Cassidy, Associate Director, Technology Controls Program (TCP), Office of Compliance Inspections and Examinations
Kevin W. Goodman, Associate Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations
Daniel R. Gregus, Associate Director, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations
Daniel S. Kahl, Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations
John S. Polise, Associate Director, National Broker-Dealer Exchange Program (BDX), Office of Compliance Inspections and Examinations
Kristin A. Snyder, Co-National Associate Director, Investment Adviser/Investment Company Examination Program (IA/IC), Office of Compliance Inspections and Examinations

Commentators:

Hon. Roel C. Campos
Hon. Harvey L. Pitt


The purchase price of this Web Program segment includes the following articles from the Course Handbook available online:

  • National Exam Program, Office of Compliance Inspections and Examinations, Examination Priorities for 2017
  • National Exam Program Risk Alert, Office of Compliance Inspections and Examinations, Volume VII, Issue 1, November 7, 2017, Observations from Municipal Advisor Examinations
  • National Exam Program Risk Alert, Office of Compliance Inspections and Examinations, Volume VI, Issue 6, September 14, 2017, The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers
  • National Exam Program Risk Alert, Office of Compliance Inspections and Examinations, Volume VI, Issue 5, August 7, 2017, Observations from Cybersecurity Examinations
  • National Exam Program Risk Alert, Office of Compliance Inspections and Examinations, Volume VI, Issue 4, May 17, 2017, Cybersecurity: Ransomware Alert

Presentation Material

  • 2018 National Exam Program Examination Priorities Handout
(s)
Hon. Roel C. Campos ~ Hughes Hubbard & Reed LLP
Keith E. Cassidy ~ Associate Director, Technology Controls Program (TCP), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Peter B. Driscoll ~ Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Kevin W. Goodman ~ Associate Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Daniel R. Gregus ~ Associate Director, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Daniel S. Kahl ~ Associate Director and Chief Counsel, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Jessica Kane ~ Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Hon. Harvey L. Pitt ~ Founder, CEO and Managing Director, Kalorama Partners, LLP; Kalorama Legal Services, PLLC
John S. Polise ~ Associate Director, National Broker-Dealer Exchange Program (BDX), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Kristin A. Snyder ~ Co-Deputy Director and Co-National Associate Director, Investment Adviser/Investment Company Examination Program (IA/IC), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
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