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June 30, 2020

SEC Alert: Failing to Disclose Conflicts of Interest Will Result In SEC Sanctions.

Speakers:
Yehuda Braunstein
Tuesday, June 30, 2020
11:00 AM 12:00 PM

During this webinar, Partners Dan Viola, Eliott Frank, and Yehuda Braunstein will discuss:
  • the most commonly cited deficiencies observed by the SEC’s Office of Compliance Inspections & Examinations (“OCIE”);
  • OCIE’s statements and alerts with respect to these issues; and
  • How you can prepare for, and avoid, being cited for these deficiencies