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CFOs & COOs Forum returns to live; SEC exam deficiencies

Day one of the CFOs & COOs Forum is here; SEC exam rundown: Hot exam deficiencies.

CFOs & CEOs Forum: PEI‘s annual CFOs & CEOs Forum is back, going live and in-person for the first time since early 2020. Today’s panels include a host of hot topics and Keynote interview with Blackstone’s chief administrative officer, Vik Sawhney. Keep an eye out for some of our coverage of the events panels. And if you’re here, come say hello to Jen and me!

Compliance: The SEC’s Division of Examinations issued a risk alert yesterday outlining areas of compliance with regards to material nonpublic information that it said it is seeing deficiencies. Ahead of that risk alert, affiliate title Regulatory Compliance Watch had this rundown of areas where the regulator has been delivering deficiencies to advisers. The SEC is said to be delivering more deficiencies than usual, reports Carl Ayers.

Email prepared by Graham Bippart