Morgan Lewis Seminars

2015 SEC Examination and Enforcement Trends for Investment Advisers Roundtable Road Show

Thursday, February 19, 2015 {ml-event-to} Thursday, February 26, 2015
04:30 PM - 06:00 PM Eastern Standard Time

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:

  • The continuing focus on dual registrants, investment advisers, and investment companies
  • The close coordination between the Office of Compliance Inspections and Examinations and enforcement
  • Ongoing examination initiatives and sweeps
  • Selected 2014 enforcement cases and examination priorities for 2015

This program will be of most value to in-house counsel and senior executives with a strategic compliance role.

Thursday, February 19
101 Park Avenue
New York, NY 10178
speakers: Jen Klass, Daniel Kleinman, Steve Stone, Amy Greer, Peter Chan

Tuesday, February 24
One Federal Street
Boston, MA 02110
speakers: Michael Weissmann, Jennifer Klass, Thomas Hennessey, Steven Hansen

Wednesday, February 25
77 West Wacker Drive
51st Floor
Chicago, IL 60601
speakers: Peter Chan, Merri Jo Gillette, Timothy Levin

Thursday, February 26
1701 Market Street
Philadelphia, PA 19103
speakers: Merri Jo Gillette, Sean Graber, Amy Greer, Timothy Levin, Jennifer Klass

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

CLE credit: CLE credit is pending approval in CA, FL, IL, NJ, NY, PA, TX, and VA.