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Overview
Why You Should Attend:
At the beginning of each year, PLI presents, in cooperation with the U.S. Securities and Exchange Commission, presents an essential update on the current initiatives at the Commission, as well as the priorities for the coming year. At this briefing, taken from The SEC Speaks 2016 program, you will hear remarks by SEC staff regarding legal issues and recent updates in Compliance Inspections and Examinations.
What You Will Learn
- How does the national Exam Program decide which firms to exam?
- How does the national Exam Program decide what areas to exam within firms?
- How do the risk assessment processes apply to credit rating agencies
Who Should Attend
Securities and corporate attorneys in private practice or in-house, CEOs, CFOs, and others in senior management involved in decision-making impacted by securities laws.