Join us on November 18, 2020, 11:30-12:30

Topic: FSP Lunch with the SEC National Presentation

Presenter: Marshall Gandy, Senior Officer and Co-National Associate Director of the Investment  Adviser/Investment Company examination program in the SEC’s Office of Compliance Inspections and Examinations.

Zoom Meeting Details

Join Zoom Meeting

https://zoom.us/j/93103225130?pwd=ZkJSc21MNDFySlAvcXFPcHc2UU9uQT09 

Meeting ID: 931 0322

5130  Passcode: 917111

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+13462487799,,93103225130#,,,,,,0#,,917111# US (Houston)

Presentation Information

Topic: FSP Lunch with the SEC National Presentation

Highlights:

• Current OCIE Year Priorities
• COVID Examination Transitions
• Cybersecurity Updates/Guidance
• Working from Home Advice/Compliance/Supervision
• Common Compliance Program Deficiencies
• Questions from Audience

Speaker Info

Presenter: Marshall Gandy, Senior Officer and Co-National Associate Director of the Investment  Adviser/Investment Company examination program in the SEC’s Office of Compliance Inspections and Examinations.

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