September 2021

15th Annual Investment Management Regulatory University - Webinar Series


Our 15th Annual Investment Management Regulatory University is a series of webinars designed to be insightful and practical while providing business-focused guidance on dealing with the challenges of the changing regulatory landscape in the fund industry.

September 30, 2021: Attorney Conduct Rules & Escalation of Issues

Presentation Slides

September 21, 2021: Enforcement Trends Affecting Investment Advisers and Other Fiduciaries

Presentation Slides

September 14, 2021: Highlights of the Advisers Act New Marketing Rule

Presentation Slides

September 2, 2021: Hot Topics in Investment Adviser Regulation 

Presentation Slides

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