Investment Adviser Regulatory Update
May 26, 2016
Thursday 1:00 PM - 3:00 PM (ET)
This session will provide you with a virtual, real-time briefing on regulatory reform and other recent and pending regulatory developments, the possible implications for your firm, and the new challenges and best practices that should be on your radar screen. Recent and emerging trends in SEC inspections and enforcement will also be discussed.
- List the compliance issues currently stamped "high-priority" and determine which regulatory developments affect your firm
- Apply practical advice on preparing for and grappling with today's shifting regulatory environment and its uncertainties
- Develop risk management strategies that address SEC priorities
Designed to increase the professional competence of investment adviser professionals with legal, compliance and management responsibilities.
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based
Advance Preparation: None