Presentation

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

April 10, 2014

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.

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