What you'll learn

    The regulatory environment is constantly evolving, and keeping up with the changes can be challenging. SEC examinations also evolve and firms need to be prepared for new regulatory requirements and expectations.

    Hear from our experienced ACA Wealth experts who will discuss SEC examinations, including what to expect, what we’re seeing in the current landscape, and how to prepare. With many exams moving back to on-site, firms need to be ready at all times.

    Why attend?

    • Gain insights from experts on current SEC exam priorities.
    • Learn how to effectively organize, communicate, and manage expectations for an SEC exam.
    • Benefit from our extensive experience assisting clients through hundreds of SEC exams.
    • Explore recent SEC focus areas, including conflicts of interest, suitability, cybersecurity, off-channel electronic communications, artificial intelligence, and more.


    Who should attend? 
    This webcast is for wealth management chief compliance officers (CCOs), operations personnel, and compliance personnel. It is designed to provide critical insights into navigating SEC examinations, understanding the current regulatory landscape, and effectively preparing for the process. 

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    Our speakers
    • Myles Blechner, Director, ACA Group
    • Andrea Penn, Director, ACA Group
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    You need solutions that meet your needs, fit your budget, and consider the complexity of your firm’s unique compliance requirements. 

    Our dedicated wealth manager practice, ACA Wealth, offers unmatched GRC experience and expertise for Wealth Management firms

    Gain peace of mind as you launch, grow, and protect your business with ACA.

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    Our unique blend:

    Our regulatory compliance, managed services and technology paired with the expertise of ACA’s Wealth practice gives you access to full service GRC solutions that can grow with you and your firm.