SEC Update
From the GIPS Standards Annual 2007 Conference
In this webcast, William R. Meck discusses the following:
- The SEC’s recent ComplianceAlert letter;
- Top regulatory and inspection issues; and
- What the SEC looks for when performing an examination.
Speaker
William R. Meck is the senior assistant director for the Philadelphia Regional Office of the U.S. SEC, where he is responsible for the examination program of investment advisers and investment companies. Previously with the SEC, he served as a branch chief and as an examiner. An expert in computer applications, Mr. Meck has developed many of the programs used by SEC examiners. He speaks frequently to industry gatherings and is a Certified Public Accountant (CPA). Mr. Meck holds a BBA in management and an MBA in accounting and computer science from Temple University.
This information is accurate as of the date of recording.
Play
Topics
- Performance Measurement and Evaluation
- Standards, Ethics, and Regulations
Details
| Length: |
55min |
| Posted: |
11/1/2007 |
| Recorded On: |
9/28/2007 |
| CE Credits: |
1 CE, 1 SER |
| Formats: |
|
Price (USD)
| Members: |
FREE |
| CFA Program Candidates: |
FREE |
| Standard Rate: |
FREE |