Asset Managers: A New Era of Regulation?

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December 14, 2017
1:00 PM – 2:00 PM ET

Now that we are nearly one year into President Trump’s administration, and with many new faces at the SEC, CFTC, and other regulators, the current regulatory state is beginning to take shape. Please join us for a webinar while we discuss recent trends on rulemaking, examination, and enforcement, including implications of the US Treasury’s report, “A Financial System that Creates Economic Opportunities—Asset Management and Insurance.”


  • The current lineup at key regulators
  • Possible rulemaking initiatives on the horizon
  • Trends in examination and enforcement
  • Recommendations from the Treasury report
  • Impact of the Treasury report on the asset management industry

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