RIA Update: SEC Exams, Enforcement and a Look Forward
June 29, 2021 -10am PT | 1pm ET
The SEC has strengthened their focus on regulatory enforcement as the increase in electronic communications tools changes the way financial services organizations do business. Recent statements about social media use, the new federal cybersecurity order, and the SEC’s official examination priorities have some firms concerned about how to manage compliance in a new era.
Join us on Tuesday, June 29th at 10am PT | 1pm ET for a webinar with experts in financial services and information governance for a discussion about:
- SEC Exam priorities and a view from the front lines
- Recent experience relating to exams and enforcement trends
- The regulatory challenges of enabling a hybrid work force
- How firms are adjusting to expanded use of Teams, Zoom and other digital communications tools
- Trends and direction in areas such as social media, cryptocurrency, gamification
We’ll cover best practices and modern technologies that will help firms stay in front of compliance challenges and what’s next under new SEC secretary Gary Gensler. You won’t want to miss it.
VP, Information Governance,
Robert Cruz is the Vice President, Information Governance for Smarsh. He has more than 20 years of experience in providing thought leadership on emerging topics including cloud computing, information governance, and discovery cost and risk reduction.
Founder and CEO, Elinphant, L.L.C.
Elin Cherry is founder and CEO of Elinphant, L.L.C., a financial compliance consulting firm. She is a Capital Markets and Compliance Executive who has served as a key member of Compliance Senior Management teams. Known for gaining regulator confidence, she has a proven track record in managing regulatory relations and examinations and has strengthened firm’s credibility with regulators during times of financial stress. Elin is adept at successfully implementing Compliance Programs to enable firms to be proactive regarding compliance matters. Prior to founding Elinphant, Elin was a Principal and the Head of Capital Markets at Compliance Risk Concepts (“CRC”). In that role, she grew a book of business generating half a million dollars in revenue.
Partner, Investment Funds
Kirkland & Ellis, LLP
Matt Cohen is a partner in the Investment Funds Practice Group. His practice focuses on private investment funds and investment advisers. Matt represents clients on a wide variety of transactional and regulatory matters, including the formation, offering and operation of private equity funds, real estate funds, credit funds and hedge funds, as well as fund restructurings and secondary offerings. In addition, Matt has advised clients on the formation of alternative investment vehicle structures, including investment holding companies and permanent capital vehicles. Matt also counsels investment advisers with respect to the federal securities laws and Securities and Exchange Commission (SEC) regulations. In this regard, he frequently represents clients in SEC examinations conducted by various regional offices of the SEC, including San Francisco and Los Angeles.
Watch the Recording