2017 SEC Examination & Enforcement Trends Road Show – New York

March 09, 2017

Please join us for a panel presentation and discussion 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.

There will be two simultaneous programs focused on the specific interests of:

  • Broker-dealers
  • Investment advisers and investment companies

Topics for discussion 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

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

Space is limited.

For more information, please contact Kate Lesko at +1.215.963.1742 or kate.lesko@morganlewis.com.

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