Morgan Lewis Seminars

2016 SEC Examination and Enforcement Trends Roundtable Road Show – Philadelphia

March 3, 2016
4:00–6:00 pm
Presentation and discussion
Reception to follow

Please join us for a roundtable discussion that will explore evolving examination and enforcement trends affecting broker-dealers, investment advisers and investment companies, and their employees.

As the US Securities and Exchange Commission (SEC) expands its use of data analytics and continues to focus on conflicts of interest in the asset management industry, and as Financial Industry Regulatory Authority (FINRA) enforcement continues to play a central role in its regulatory program, the complexities of compliance grow. Our team of securities enforcement and investment management lawyers will discuss SEC and FINRA examination priorities for 2016 and also take a look back at high-impact and first-of-their-kind enforcement actions in 2015.

Topics will include:

  • Innovative use of data analytics and coordination with the Division of Economic and Risk Analytics
  • Compliance officer and gatekeeper accountability
  • Offering brokerage and advisory services to retail investors and investors saving for retirement
  • Suitability of complex products, mutual fund share class issues, and payments for distribution in guise
  • Expense allocations and broken deal fees
  • Municipal securities and public pension advisers
  • Cybersecurity and insider trading

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

For more information or to register for the event, please contact Samantha Dwyer at +1.212.309.6942 or

CLE credit: CLE credit in IL, NY, and PA is currently pending approval.