Are You Prepared For an SEC Exam?

By Lindsey Starr, Marketing Coordinator, ByAllAccounts on Wednesday, June 18th, 2014


On Wednesday, June 25th ByAllAccounts will be hosting a webinar on preparing for your next SEC audit. You’ll hear from industry experts on need-to-know tips and best practices for keeping your firm compliant. Are you among the 40% of advisors who have never been examined before? During this webinar, you’ll learn more about what the SEC will be focusing on and how you can prepare your firm for an inevitable upcoming exam. 
  
Presenters: 

Krista Zipfel, CFA, President and CEO, Advisor Solutions Group

Krista S. Zipfel, CFA founded Advisor Solutions Group in 2003 after a decade of working for registered investment advisory firms ranging from $50 million to $5 billion in assets under management, serving both retail and institutional clients. She has worked in the areas of compliance, portfolio management, client service, marketing, research, portfolio administration, operations, trading, and accounting. Krista is a member of the National Society of Compliance Professionals (NSCP) and member and Past President of the Southern California Compliance Group (SCCG). She has been a speaker on regulatory topics for NSCP, CFAOC, IA Watch, and NAPFA events.

George Svagera, VP of Business Development, West Coast, Orion Advisor Services

George Svagera is the VP of Business Development at Orion Advisor Services. He specializes in business development, performance reporting for RIAs, portfolio accounting systems, CRM, alternative investments, SaaS and more. Orion Advisor Services, LLC empowers advisors with a comprehensive portfolio accounting service bureau that liberates you from your back office allowing more time to build client relationships. Orion offers the customization, integration and scale advisors need to build a better business – and enjoy your business again. For more information, visit www.orionadvisor.com

Join us June 25th, 1:00 PM EST. Register here to reserve your seat. 



You may also be interested in:

How does the SEC feel about account aggregation? (Blog post by Cynthia Stephens, VP of Marketing, ByAllAccounts)

Surviving an SEC Audit (Blog post by Sheryl Rowling, CEO, Total Rebalance Expert)

Sign up for the webinar: Need-to-Know Tips and Best Practices for Keeping Your Firm Compliant 

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