Omar Hakim, Esq., Mona Shah & Associates to Speak at KC’s The SEC 2016 Examination Priorities: Exploring Recent Trends and Developments Live Webcast
New York, NY, May 17, 2016 --(PR.com)-- The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Omar Hakim, Esq., Mona Shah & Associates will speak at the Knowledge Group’s webcast entitled: “The SEC 2016 Examination Priorities: Exploring Recent Trends and Developments LIVE Webcast.” This event is scheduled for June 22, 2016 @ 10:00 AM to 12:00 PM (ET). For further details, please visit: https://theknowledgegroup.org/event-homepage/?event_id=1780
About Omar Hakim, Esq.
Omar currently handles all corporate and securities matter for issuers and developers seeking financing under the EB-5 program for Mona Shah and Associates, a top 25 EB-5 law firm. He offers clients years of experience in securities law and corporate law, including SEC compliance, corporate finance, and mergers and acquisitions. Omar is also able to draw on his experiences at major federal regulatory agencies and bodies.
Omar earned his J.D. at the University of Virginia where he was a member of the Tax Review, and his Master of Laws in Securities and Financial Regulation at the Georgetown University Law Center. He earned his B.A. in Economics at Georgetown University with minors in Computer Science and Arabic, and has passed the Chartered Financial Analyst Level I exam.
About Mona Shah & Associates
Mona Shah & Associates is highly regarded in the EB-5 field and boasts a special edge in their EB-5 practice. MSA have assisted many investors and EB-5 Projects and Regional Centers in navigating this complex, nuanced, and constantly changing area of immigration law. The legal team at MSA continuously follow the frequently changing interpretations of USCIS’ EB-5 regulations and policy guidelines as well among others. We regularly update our blog, commenting on newsworthy items. Likewise, our China practice group also provides advice to US-based clients who seek to access the Chinese capital market.
Event Synopsis:
On January 11, 2016, the SEC's Office of Compliance Inspections and Examinations (OCIE) announced its examination priorities for this year. The 2016 examination priorities are organized around the three thematic areas: (1) examining matters of importance to retail investors, including investors saving for retirement; (2) assessing issues related to market-wide risks; and (3) using data analytics to identify and examine registrants that may be engaged in illegal activity. The OCIE identified new areas of focus related to these priorities, which include liquidity controls, product promotions, exchange-traded funds and variable annuities. There will also be a continuing focus directed on cybersecurity, microcap fraud, fee selection and reverse churning.
These examination priorities impact most security industry participants including registered investment advisers, broker dealers, registered investment companies, and transfer agents. Although the OCIE indicated that the list is not exhaustive, the affected professionals are recommended to review and update their compliance practices based on the specified areas mentioned in preparation for a SEC examination.
In this two-hour Live webcast, a panel of distinguished professionals and thought leaders will help security industry professionals and companies understand the 2016 SEC Examination Priorities. Speakers will also offer best practices to ensure compliance and preparedness in the event of an examination.
In a two-hour live webcast, the speakers will discuss:
· Purpose and Thematic Focus of 2016 Examination
o Protecting Retail Investors and Investors Saving for Retirement
o Assessing Market-Wide Risks
o Using Data Analytics to Identify Signals of Potential Illegal Activity
o Other Initiatives
· Impact on Security Industry Participants
· Best Compliance Practices
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register for an event, please visit: http://theknowledgegroup.org/
About Omar Hakim, Esq.
Omar currently handles all corporate and securities matter for issuers and developers seeking financing under the EB-5 program for Mona Shah and Associates, a top 25 EB-5 law firm. He offers clients years of experience in securities law and corporate law, including SEC compliance, corporate finance, and mergers and acquisitions. Omar is also able to draw on his experiences at major federal regulatory agencies and bodies.
Omar earned his J.D. at the University of Virginia where he was a member of the Tax Review, and his Master of Laws in Securities and Financial Regulation at the Georgetown University Law Center. He earned his B.A. in Economics at Georgetown University with minors in Computer Science and Arabic, and has passed the Chartered Financial Analyst Level I exam.
About Mona Shah & Associates
Mona Shah & Associates is highly regarded in the EB-5 field and boasts a special edge in their EB-5 practice. MSA have assisted many investors and EB-5 Projects and Regional Centers in navigating this complex, nuanced, and constantly changing area of immigration law. The legal team at MSA continuously follow the frequently changing interpretations of USCIS’ EB-5 regulations and policy guidelines as well among others. We regularly update our blog, commenting on newsworthy items. Likewise, our China practice group also provides advice to US-based clients who seek to access the Chinese capital market.
Event Synopsis:
On January 11, 2016, the SEC's Office of Compliance Inspections and Examinations (OCIE) announced its examination priorities for this year. The 2016 examination priorities are organized around the three thematic areas: (1) examining matters of importance to retail investors, including investors saving for retirement; (2) assessing issues related to market-wide risks; and (3) using data analytics to identify and examine registrants that may be engaged in illegal activity. The OCIE identified new areas of focus related to these priorities, which include liquidity controls, product promotions, exchange-traded funds and variable annuities. There will also be a continuing focus directed on cybersecurity, microcap fraud, fee selection and reverse churning.
These examination priorities impact most security industry participants including registered investment advisers, broker dealers, registered investment companies, and transfer agents. Although the OCIE indicated that the list is not exhaustive, the affected professionals are recommended to review and update their compliance practices based on the specified areas mentioned in preparation for a SEC examination.
In this two-hour Live webcast, a panel of distinguished professionals and thought leaders will help security industry professionals and companies understand the 2016 SEC Examination Priorities. Speakers will also offer best practices to ensure compliance and preparedness in the event of an examination.
In a two-hour live webcast, the speakers will discuss:
· Purpose and Thematic Focus of 2016 Examination
o Protecting Retail Investors and Investors Saving for Retirement
o Assessing Market-Wide Risks
o Using Data Analytics to Identify Signals of Potential Illegal Activity
o Other Initiatives
· Impact on Security Industry Participants
· Best Compliance Practices
About The Knowledge Group/The Knowledge Congress Live Webcast Series
The Knowledge Group was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register for an event, please visit: http://theknowledgegroup.org/
Contact
The Knowledge Group
Thomas LaPointe, Jr., Executive Director
646-844-0200
www.theknowledgegroup.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
Thomas LaPointe, Jr., Executive Director
646-844-0200
www.theknowledgegroup.org
Therese Lumbao, Director
Account Management & Member Services
tlumbao@knowledgecongress.org
Contact
Categories