September 02, 2021

Hot Topics in Investment Adviser Regulation


Our 15th Annual Investment Management Regulatory University—held as a series of webinars this year—launched with a discussion of regulatory hot topics. Mayer Brown partners Stephanie Monaco, Tim Clark, Erin Cho and Christina Thomas discussed:

  • Investment Advisers Act Update—Glimpses of New Marketing Rule and Division of Examinations Risk and Guidance
  • Private Funds Update—Current Deal Allocation and Disclosure Issues
  • Federal Securities Laws Update—SEC Initiatives on ESG, Including Enforcement and Names Rule
  • US Department of Labor (DOL) Update—Broker-Dealer Compliance with PTE 2020-02, DOL Guidance on Cybersecurity and Views on ESG

Please visit 15th Annual Investment Management Regulatory University for presentation materials and related articles to our webinar series. To view a recording of the webinar, please contact Franceska Anderson-Vargas at or +1 312 701 7795.

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