Mavis Kelly serves as assistant director in the SEC’s Office of Compliance Inspections and Examinations. She has been with the SEC for 16 years and has overseen hundreds of exams. She worked as an examiner her first six years with the SEC.
Michelle Logue is the chief compliance officer at Lockwood Advisors Inc., an investment advisory firm in Malvern, Pa. She oversaw her firm’s most recent SEC examination in May 2008.
Lorna A. Schnase, Attorney at Law, has been practicing corporate and securities law for more than 20 years. Her practice emphasizes investment management matters under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, primarily for registered mutual fund and investment adviser clients. Ms. Schnase practices independently based in Houston, Texas. She is a member of the Advisory Board of the Mutual Fund Directors Forum and is a frequent author and speaker on investment management legal issues at the invitation of organizations such as the Investment Adviser Association, IA Week, CLEonline.com, The Investment Lawyer, National Society of Compliance Professionals and others.
Michelle Jacko leads her own securities legal and compliance consulting firm, Core Compliance & Legal Services in San Diego. She is the firm’s founder and CEO. The company provides services across a wide spectrum, ranging from mock exams to writing compliance policies and procedures. Before starting her own firm, Michelle was Vice President of Compliance and Branch Manager of the Home Office Supervision team at LPL Financial Services and legal counsel of Investments and Chief Compliance Officer at First American Trust.
Call toll-free 1-800-260-1545 or fax this page to 301-287-2535. Please allow 2–4 weeks for delivery.
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This webinar was originally recorded Tuesday, August 12, 2008, 2:00 – 3:30 p.m., but due to the overwhelming demand for the recording, we have made it available on CD for your convenience.
Webinars are sponsored by IA Week, a publication of IA Watch, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.
to Listen in:
- Chief Compliance Officers
- Compliance Managers
- General Counsel
- Senior Managers
examiners are coming next week?
Take a step to being ever-ready by ordering the CD Rom of our August 12th webinar – and hear from key leaders who bring current expertise that combine to give you a solid approach to improve your firm’s compliance and exam readiness.
You get guidance from a top SEC official, as well as from a CCO who’s fresh from an exam – each providing valuable insights into the process.
For example, examiners want to see documentation that you’re actually implementing your review procedures. Also, forensic testing, if done right, can impress them significantly.
There are changes coming to how the SEC conducts its exams, driven by a pending new document request letter template, re-worked deficiency letters and mounting contemporary concerns that range from preventing insider trading to assessing whether disclosures are meeting the demands of today’s volatile market, and more.
Make sure you and your firm are ready. Order the CD Rom of How to Survive & Thrive During Your Next SEC Exam today and find out:
- The top 5 exam deficiencies
- What examiners look for and the most effective procedures that impress examiners
- The key differences among types of SEC exams
- How to demonstrate that you’ve accomplished a stellar risk assessment
- Examples of transactional and forensic testing
- Where to situate the examiners and how to relate to them while they’re
on-site - How best to react to a deficiency letter
- How a typical exam unwinds – and what surprises may be in store for you
- And much more.
YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, How to Survive & Thrive During Your SEC Exam for $245 [A1551CD].
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