Please join us for a panel presentation and discussion that will explore evolving enforcement and examination trends affecting broker-dealers, investment advisers, investment companies, and their employees.
Compliance is growing more complex as the SEC continues to bring its proprietary data analytics to bear on its massive trove of market data and renews its focus on disclosures of fees and expenses and conflicts of interest in the asset management industry, and as FINRA's enforcement function undergoes significant change.
Our team of securities enforcement and investment management lawyers will discuss SEC and FINRA enforcement and examination priorities for 2018 and also take a look back at some of the high-impact enforcement actions and developments from 2017.
Topics will include:
This program will be of most value to in-house counsel and senior executives with strategic compliance roles.
Space is limited.
For more information, please contact Kate Lesko at firstname.lastname@example.org.
CLE credit: CLE credit in NY and PA is currently pending approval. CLE credit in CT and NJ is pending approval via reciprocity.