Roundtable Road Show

As the U.S. Securities and Exchange Commission (SEC) continues its pursuit of "broken windows" enforcement and its focus on the asset-management industry, the complexities of compliance continue to grow. Our team of Securities Enforcement and Investment Management lawyers discussed new areas of focus in 2015 and also took a look back at notable developments in 2014.

Topics included:

• The continuing focus on dual registrants, investment advisers, and investment companies
• The close coordination between the Office of Compliance Inspections and Examinations and enforcement
• Ongoing examination initiatives and sweeps
• Selected 2014 enforcement cases and examination priorities for 2015