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Recent Trends in Investment Adviser Enforcement Proceedings

October 27, 2020
9:00 AM - 10:15 AM CDT
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Course Description:

This is always one of our most popular sessions! Our panelists will review and comment on the latest enforcement actions, bringing expert legal perspective and explaining how these cases apply to your firm. The panel will also consider whether recent cases represent new enforcement trends and whether the current cases suggest new or different directions in the SEC’s thinking.

Learning Objectives

After attending this session, attendees should be able to:

  • Analyze recent cases to help you better assess your own compliance program
  • Identify new or changing expectations relating to processes, policies, procedures and disclosures
  • Employ recent cases to help you explain to senior management the risks your firm may be facing

This virtual course is being taught as part of the Fall 2020 Compliance Conference. To learn more, visit our main conference webpage.

Elizabeth Knoblock
Elizabeth M. Knoblock
Managing Member and OwnerElizabeth M. Knoblock, PLLC

Elizabeth M. Knoblock is the managing member and sole owner of Elizabeth M. Knoblock, PLLC, a private law firm. She is a securities lawyer with over 35 years of legal practice and business experience.

As first noted in the 2007 edition of Chambers USA, Ms. Knoblock has the “…ability to see the business viewpoint and to interact with management on difficult issues….” Over the course of her career, she has focused on the laws governing investment advisers, registered investment companies, hedge funds and private accounts, including institutional, retail and wrap fee clientele.

Ms. Knoblock has significant experience with securities-related policies and procedures, disclosure, compliance and regulatory issues. Ms. Knoblock began her regulatory career with the Office of General Counsel of the Commodity Futures Trading Commission, followed by a stint with the Division of Investment Management of the Securities and Exchange Commission, before moving to Wall Street, where she spent five years in various legal positions with dual registrant brokerage firms, including Kidder Peabody, Gruntal and Shearson Lehman Hutton.

She subsequently served for a decade as General Counsel of Templeton Investment Counsel, Inc. in Florida and for more than a decade as a partner with two separate international law firms. In addition to managing her firm, Ms. Knoblock is a past Board member of the National Society of Compliance Professionals and a much sought after speaker at industry conferences. She was honored by National Regulatory Services, an industry compliance service provider, as the only speaker to have been invited to speak, and to have spoken, for 30 consecutive years at its national compliance conferences.

Ms. Knoblock is a member of the state bars of New York, Florida, Alabama and the District of Columbia. Her educational degrees include a magna cum laude Dean’s List Bachelor of Arts from Stetson University in Deland, FL; a Dean’s List Juris Doctor from Georgetown University Law Center in Washington, DC; and an LLM / Masters in Securities Regulation, also from Georgetown, plus a Dean’s List MBA from NOVA University, both of which were obtained while working full-time as a securities lawyer.

John Walsh
John Walsh
Partner, Eversheds Sutherland LLP and Member, Securities Enforcement and Litigation Team

John is a Partner in Sutherland’s Business Practices Group and a member of the Securities Enforcement and Litigation Team. As a 23-year veteran of the Securities and Exchange Commission (SEC), John played a key role in creating the Office of Compliance Inspections and Examinations (OCIE), which administers examinations of the nation’s registered entities, including broker-dealers, investment managers, funds, self-regulatory organizations, and others.

Prior to this, John was Special Counsel to former SEC Chairman Arthur Levitt and worked in the SEC’s Division of Enforcement, serving first as Senior Counsel and then as Chief of the Branch of Regional Office Assistance. John began his career with the SEC in 1988 as an attorney in the Office of General Counsel.

John is a Certified Fraud Examiner and a recognized author on securities regulation and compliance.

For Whom: or Designed to increase the professional competence of Investment Advisers.

Suggested Skill Level: Intermediate

Maximum Recommended Credit Hours for this session will include CLE, CFP, IACCP® and CPE .

CA MCLE = 75 minutes
CFP = 1.5 credits
IACCP® = 75 minutes
CPE = 75 minutes

For more information, check out the NRS Continuing Education Guide.