Sylvia Scott of Freeman, Freeman & Smiley LLP held a presentation at the National Society of Compliance Professionals, Inc. (NSCP) on Monday, February 22, 2010 at the Marines' Memorial Club & Hotel, 609 Sutter Street, San Francisco, 415-673-6672.
NSCP is the only membership organization exclusively serving securities industry compliance professionals. NSCP is the source for information, education, certification, networking and advocacy. NSCP's diverse membership includes Broker-Dealers, Investment Advisers, Investment Companies, Hedge Funds, and Banks, as well as Insurance, Law, Consulting and Accounting Firms.
ADDRESSING NEW ISSUES IN SEC AND STATE EXAMINATIONS AND ENFORCEMENT PROCEEDINGS:
- What processes should you have in place to address top exam deficiencies and changes in examination and exam techniques;
- How are firms addressing the latest new rules;
- What is being referred to enforcement -- the new landscape;
- Enforcement proceedings and the settlement process -- who, what, when and how.
