On-demand webcasts

 

Asset management webinar: OCIE risk alert updates

Sep 30, 2020

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. Listen to 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.

This webinar was created for executives, Board Members, Compliance and Information Security Professionals from RIAs, Broker/Dealers and Private Fund Managers.

Author(s)

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