7f. ALL LAB - Financial Health and Forensic Review (Intermediate)
The SEC continues to focus on revenue sharing, fee disclosure, and expense sharing arrangements that may present material disclosure errors and conflicts of interest. In this lab, attendees will work through complex financial analytics and case studies utilizing forensic analysis and testing to identify potential violations and to determine whether a firm is experiencing financial impairment. This lab will be especially helpful to compliance personnel of investment advisers and broker-dealers with a multitude of financial arrangements, products, and clients. Participants will gain a better understanding of what to look for in contracts and financial statements, and they will leave with practical tools to enhance their surveillance and testing programs. This session is closed to regulators and members of the press.
