Webinar Archive: Compliance Risks and Considerations During COVID-19

The SEC’s OCIE recently issued a risk alert on COVID-19 compliance risks and considerations for broker-dealers and investment advisers. In this risk alert, OCIE identified six areas where broker-dealers and investment advisers should focus compliance efforts in these difficult times: (1) protection of investors’ assets; (2) supervision of personnel; (3) fee, expense, and financial transaction practices; (4) investment fraud; (5) business continuity; and (6) protection of investor and other sensitive information. In a recent MFDF webinar, lawyers from Perkins Coie discussed OCIE’s considerations and reviewed specific actions and reviews within these categories that broker-dealers and investment advisers might consider conducting.

This webinar was recorded on Friday, September 25, 2020.

OCIE COVID-19 Compliance Risk Alert - Slides