The Compliance Year in Review

Date
December 11, 2019
Time
On Demand
Location

Your desk!

Type
Webcast

2019 was filled with a number of regulatory and industry developments.

This webcast will provide an overview of investment adviser and registered investment company compliance developments from 2019, and what to expect in 2020.

Discussion Topics:

  • Rule proposals and adoption

  • Examination trends
  • SEC focus areas, risk alerts, no action letters, and guidance updates
  • Noteworthy enforcement actions
  • A look ahead to 2020