The Current and Future Compliance Landscape: Fireside Chat with the SEC’s Pete Driscoll

The Current and Future Compliance Landscape: Fireside Chat with the SEC’s Pete Driscoll

Watch the Fireside Chat with Pete Driscoll, the Director of the SEC’s Office of Compliance Inspections (OCIE), followed by a discussion among industry experts. Our Fireside Chat focuses on what’s trending within OCIE, including new exam observations, new Alerts and a look forward to 2021.

Topics include:

  • New examination observations, Risk Alerts and trends from the OCIE examiners’ perspective
  • The Event and Emerging Risk Examination Team within OCIE
  • Takeaways from the Form CRS exam findings roundtable
  • What’s next for 2021?

The Fireside Chat is moderated by Stephanie Monaco, Partner at Mayer Brown, LLP and hosted by CSS.

Following the Chat with Pete Driscoll, a discussion panel provides key takeaways and insights into how the industry will be impacted.

Panelists include:

  • James E. Anderson, Partner at Willkie Farr & Gallagher
  • Annie Lazarus, Chief Compliance & Risk Officer at Landmark Partners
  • Adan Araujo, Chief Compliance Officer at Jasper Ridge Partners

The panelist discussion is moderated by Keith Marks, Co-Executive Director, Compliance Services at CSS


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