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
Name: Mary Boortz
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.