Morgan Lewis Seminars

2017 SEC Examination & Enforcement Trends Road Show – Chicago

Thursday, March 16, 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 SEC and FINRA 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
  • Investment adviser and investment company focus, including mutual fund share class issues and private equity cases
  • Municipal securities and public pension advisers
  • Market structure and integrity
  • Whistleblower retaliation protection

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

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