Please join us for a roundtable discussion that will explore growing examination and enforcement trends affecting investment advisers. As the U.S. Securities and Exchange Commission (SEC) continues its pursuit of "broken windows" enforcement and its focus on the asset-management industry, the complexities of compliance continue to grow. Our team of Securities Enforcement and Investment Management lawyers will discuss new areas of focus in 2015 and also take a look back at notable developments in 2014.
Topics will include:
This program will be of most value to in-house counsel and senior executives with a strategic compliance role.
4:30 pm – 6:00 pm (local time)
Presentation and Discussion
Reception to follow
For more information, please contact Jamerlyn Brown at +1.212.309.6852 or firstname.lastname@example.org.
CLE credit: CLE credit is pending approval in CA, FL, IL, NJ, NY, PA, TX, and VA.