Upcoming Events

Asset management webinar: OCIE risk alert updates

9/30/2020 02:00 PM - 03:00 PM (CT)

Type: Live Webinar

Industry: Financial Services

Seats Remaining: 976

Event Contact:

Name: Mary Boortz

Phone: 715.858.6677

Email: mboortz@wipfli.com


During the past several months, the Office of OCIE released a ransomware alert for all broker-dealers, investment managers and investment companies, as well as a risk alert outlining a number of compliance issues noted during their examinations of investment advisers that manage hedge and private equity funds. Join the experienced professionals from Wipfli’s Asset Management Team as they review the findings and discuss action steps that firms can take to uncover and address specific risk areas. 

Who Should Attend:

Executives, Board Members, Compliance and Information Security Professionals from RIAs, Broker/Dealers and Private Fund Managers.

Speakers

Enbom_Kathy
Kathy Enbom, CRCM
Principal, Compliance
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Ron Niemaszyk
Ronald S. Niemaszyk
Principal
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Tom Wojcinski
Tom Wojcinski, CISA, CRISC
Director
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