Wednesday, September 16, 2026
Virtual, Zoom
12:00–1:00 p.m.
Eastern Time
Complimentary
The Warner Funds and Investments Industry Group Virtual Roundtable Series continues with a session on the current SEC examination landscape.
More advisers are facing SEC examinations, and examiners are digging deeper once they arrive. Firms are also reporting inconsistent expectations across examiners and regions, making it increasingly difficult to know what a “clean” exam requires.
This session will focus on how CCOs can prepare despite the uncertainty in the current environment. This session is designed to be interactive.
Discussion topics will include:
- What SEC examiners are focused on right now, and how exam scope is shifting under the current administration.
- Where examiner expectations may differ and practical ways to respond when guidance is unclear.
- Steps to build or refresh an exam-ready compliance program, so advisers are prepared before an exam letter ever arrives.
Chief compliance officers and those with equivalent responsibilities are invited to participate. To encourage open and candid discussion, we ask that roundtable conversations be kept confidential.
Register for this roundtable event by clicking on the link below. Once you register, you will receive an invitation containing event detail and the Zoom link. Please follow the prompts to add the invitation to your calendar.
