Event

2017 SEC Examination and Enforcement Trends Webinar

April 04, 2017
12:00 PM - 01:30 PM ET
11:00 AM - 12:30 PM CT
09:00 AM - 10:30 AM PT

Please join us for a webinar that will explore evolving examination and enforcement trends affecting broker-dealers, investment advisers, 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, expanding its regulatory program, the complexities of compliance grow. Our team of securities enforcement and investment management lawyers will discuss regulatory examination priorities for 2017 and also take a look back at high-impact and first-of-their-kind enforcement actions from 2016.

Topics will include:

  • Continued innovations in the use of data analytics and coordination with the Division of Economic and Risk Analytics
  • Gatekeeper accountability
  • Suitability issues, particularly related to offering brokerage and advisory services to retail investors and investors saving for retirement
  • Whistleblower retaliation protection
  • Municipal securities and public pension advisers
  • Market structure and integrity
  • Investment adviser and investment company focus, including mutual fund share class issues and private equity cases

CLE credit: CLE credit in CA, FL, IL, NJ (via reciprocity), NY, PA, TX, and VA is currently pending approval.