Virtual Asset Management Roundtable Series: SEC Examination Trends for Investment Advisers

This webinar was presented for the Virtual Asset Management Roundtable webinar series, discussing issues surrounding SEC Examination Trends for Investment Advisers.

Topics included:

• Recent Developments
  • Expanding oversight of investment advisers
  • Uniform standard of care
  • ERISA fiduciary definition
• 2014 SEC Examination Priorities
  • Market-wide initiatives
  • Core risks
  • New and emerging risks
  • Policy topics

The webinar was led by IM partner Jennifer Klass.