As COVID-19 continues to impact global markets, the US Securities and Exchange Commission (“SEC”) and other regulators have recently provided guidance and targeted relief in recognition of the potential disruption that COVID-19 may have on market participants regulated by the SEC.

Please join Mayer Brown lawyers Leslie Cruz, Stephanie Monaco, Marlon Paz and Matthew Rossi as they take an in-depth look at certain COVID-19-related guidance that impacts investment advisers and broker-dealers, including:

  • What is the scope of “essential business services” for RIAs, broker-dealers and dual registrants?
  • What questions are OCIE/Enforcement asking firms?
  • What is the status of OCIE/Enforcement operations?
  • What are likely areas of OCIE/Enforcement focus?
  • What should firms be doing from a defensive posture?


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