speaker

Ethan H. Cohen 

Program

Mr. Cohen will discuss investment adviser regulatory exams, including:

  • SEC National Exam Program: New initiatives, recent exam request lists, and focus areas 
  • Responding to other requests from regulators, including State Examiners, SEC, DOL, and FINRA 
  • Demonstrating your compliance program is dynamic and vigilant against conflicts 
  • Serving as your firm’s regulatory interface and requests for employee interviews 
  • Technology tools and tips to facilitate the exam process 
  • Responding to preliminary findings, exit meeting, exam letter, and enforcement

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Related Practices

Litigation
Securities Enforcement and Litigation