Description:

A Beltway Briefing on the status of key regulatory reform initiatives on Capitol Hill and at the SEC, including: new registration and reporting requirements for advisers to hedge funds and other private pools of capital; establishing a fiduciary duty for broker-dealers offering investment advice; harmonizing the regulation of advisers and brokers; the prospects of an SRO for advisers, and changes to the SEC Custody Rule.

This session, featuring a panel of industry experts, offers you a virtual, real-time briefing on the path of regulatory reform, the possible implications for your firm, and the new challenges and best practices that should be on your radar screen.

Learning Objectives:

1.  Update on and analysis of Congressionally mandated and SEC regulatory reform initiatives.

2.  Examine the potential impact of regulatory reform on investment advisers and broker-dealers.

3.  Practical advice on preparing for and grappling with today’s shifting regulatory environment and its uncertainties.