How to Prevent Client Issues in an SEC Audit - NAPFA Credit Only

How to Prevent Client Issues in an SEC Audit - NAPFA Credit Only

K-Marketing and Practice Management

Stephen Galletto & Trina Glass

Published: 2/3/2022 6:00:00 AM

This is a recorded webinar from February 3, 2022.

The SEC’s regulatory agenda for 2022 will be more intensive and comprehensive than we’ve seen in past years. This webinar will help you navigate the regulatory waters safely and confidently, with attention given to regulatory hot topics and best practices that may keep the deficiency letters at bay.

Learning Objectives:

  • Understand the new Marketing Rule
  • Understand what a firm must do to protect client information and deter identify theft
  • Understand DOL-prohibited transactions
  • Understand wrap program disclosures

Content Level:


Speaker Bio:

Trina L. Glass is a Shareholder and member of Stark & Stark’s Investment Management & Securities Group. Ms. Glass’ legal practice is devoted to supporting the regulatory and compliance requirements of financial institutions, specializing in securities filings, regulatory analysis, investigations, books and records requirements, regulatory inquiries and exams, risk mitigation, privacy, industry advocacy, advising on written supervisory and compliance policies, and other procedural matters related to broker-dealers, investment advisors, and investment companies. Prior to joining Stark & Stark, Ms. Glass gained extensive experience as Regulatory Compliance Counsel to a leading global clearing firm, asset management firms, and two AMLaw 200 law firms; responsible for tracking and managing the firms’ awareness, interpretation, advocacy, response and implementation of changing regulation. Ms. Glass also managed a global regulatory compliance team that led efforts in designing and implementing regulatory intelligence platforms, ensuring a sufficient enterprise-wide supervisory structure and oversight program, while assessing GDPR readiness and other legal and regulatory enterprise risks. In addition, she is currently a member of Stark & Stark's Diversity, Equity & Inclusion Committee.


Stephen A. Galletto is a Shareholder and member of Stark & Stark’s Investment Management & Securities Practice Group, where he concentrates his practice on counseling financial service entities including investment advisers, broker-dealers, public and private investment companies (e.g., mutual funds, hedge funds, etc.), insurance brokers/agents, CPA firms and their employees, on regulatory, compliance, liability and litigation issues. Prior to joining Stark & Stark, Mr. Galletto gained extensive experience preparing and filing securities registration statements with the Securities Exchange Commission; assisting in the structuring, negotiating, and closing of reverse mergers; and assisting in the structuring of multi-million dollar PIPE financing deals while providing counsel to clients through the closing process.

1 NAPFA CE in K – Marketing & Practice Management will be posted in your NAPFA CE record after watching this recording.

After purchase, you may access your recorded course under the My Webinars link on your My Account page of the NAPFA website for the next 90 days.