Xantrion is honored to partner with Charles Schwab Advisor Services® by becoming a sponsor for the February 28, Regulatory Hot Topics: Preparing for 2019 forum.
This forum, presented by the Northern California Region of Schwab Advisor Services, will cover key regulatory and compliance issues, facing Registered Investment Advisors. Topics will include the 2019 SEC Exam priority list.
Last year, the SEC examined 15 percent of its registrants, and the number is expected to rise. Are you ready for the 2019 exam? A subject-matter expert will use case studies to evaluate hypothetical examination requests and discuss factors you should consider and resources you can employ when providing documents and responding to questions. In this forum, find out about:
- The SEC’s 2019 Exam priority list, including services to retirement accounts, aging client issues, cybersecurity, portfolio management and trading and disclosure of conflicts, fees and expenses
- How regulators evaluate sales practices
- Steps you can take and a checklist of tips to prepare for the exam
Register for the Schwab Regulatory Hot Topics forum here.
Experts in cybersecurity and technical support, Xantrion provides outsourced IT services for small and midsized companies in the San Francisco Bay Area. Its team of IT experts brings impeccable technical and business skills to every assignment. Featuring an award-winning strategic approach, SOC2 Type II certified security practices, 24/7 help desk, fixed fees, and a 99.99% uptime record, Xantrion is a proven partner for managed IT and security services.