Emerging Trends and Priorities in Investment Adviser Enforcement
October 5, 2017
Last year, the SEC brought the "most ever" cases against investment adviser cases. This panel will explore critical issues facing investment advisers in dealing with the SEC and in particular recent trends in SEC enforcement and SEC examinations of investment advisers. The panelists are former SEC Enforcement attorney whose practices focus on the defense of investment advisers.
Members of the Business Law Section may access the program materials and video from this program. Log in using your email address.