Regulatory Exams: Preparation and Management with SEC OCIE Chief Risk and Strategy Officer, Jim Reese

Jim Reese, Acting Chief Risk and Strategy Officer for OCIE, joined both the SEC and OCIE in 1999 as an examiner in the Investment Adviser/Investment Company Program area. In his 18-year career, he has participated on more than 450 examinations and assisted on approximately 50 rule-making initiatives. In this webinar, Jim will discuss (i) the changing landscape of the SEC’s risk-based exam program, (ii) how the SEC selects firms for examination, (iii) updates on current examination priorities (including IA branch exams) and sweeps, and (iv) the best (and worst) practices when preparing for and managing a regulatory exam.