The Compliance Year in Review

Date
Time
On Demand
Location

Your desk!

Type
Webcast
Watch on demand
  1. Webcasts, Conferences, and Training
  2. The Compliance Year in Review

2018 was filled with a number of regulatory and industry developments. Please join ACA for a webcast on The Compliance Year in Review.

This webcast will provide an overview of investment adviser and registered investment company compliance developments from 2018, and what to expect in 2019.

Discussion Topics

  • Changes at the SEC
  • Examination trends
  • SEC focus areas, risk alerts, no action letters, and guidance updates
  • Noteworthy enforcement actions
  • A look ahead to 2019