September 23, 2020

Enforcement Trends Affecting Investment Advisers and Other Fiduciaries


The fourth session of our 14th Annual Investment Management Regulatory University—a series of webinars this year—discussed key enforcement trends that investment advisers and firms engaged in the financial services business need to monitor and manage for the remainder of 2020 and provide a glimpse of what to track in 2021. Mayer Brown partners Stephanie Monaco, Richard Rosenfeld, Matthew Rossi, Matthew Kluchenek and Gina Parlovecchio addressed the following topics:

  • Misconduct by Money Managers and DOJ’s Response: An Overview
  • Derivatives Regulatory Authorities and Key Enforcement Trends/Alerts
  • Private Fund Manager Marketing Cases
  • Regulation BI (Subpoenas Issued)
  • The Remote Environment: Addressing Compliance and Other Challenges of Working Remotely During the Pandemic and Improving BCP for the Next Crisis
  • Stimulus Fraud
  • Insider Trading, MNPI, Codes of Ethics
  • Kokesh and Liu – Disgorgement Supreme Court Cases
  • LIBOR Switch – Enforcement Interest

CLE is not available when viewing a recording of this program. In order to receive credit you must have attended the live webinar program.

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