If your firm is registered with the SEC and has not been examined in a few years, now is the time to review your compliance programs, policies and procedures manual, and internal operations to ensure that all are up to date.

Investment adviser firms, private fund advisers, broker-dealers, and all other firms subject to SEC oversight are invited to join Procopio Senior Counsel Jennifer Trowbridge for a complimentary 30 minute webinar on February 6th from 12:00 – 12:30 p.m. where we will review the SEC’s 2024 Priorities publication and discuss the changes that may affect your firm’s policies and procedures in connection with emerging risks, enforcement activities, and agency risk alerts to best mitigate risks this year and thereafter.