Why You Should Attend
Over the past few years, the SEC has put the regulation of investment advisers under the microscope, with advisers becoming a major focus of the SEC’s 2017 enforcement and exam program. The SEC has set high expectations for advisers in identifying and responding to conflicts of interests and for providing robust and targeted client disclosures.

At this program, attendees will get a solid foundation in the regulatory regime applying to investment advisers. Attendees will learn how the Investment Advisers Act of 1940 and state securities laws interact in governing the advisory industry. In addition to providing a solid foundation, the program will provide extensive discussion and analysis regarding “hot topics” facing advisers today.

A distinguished faculty will offer insights into recent developments, including the SEC’s adviser exam program and recent enforcement cases.

What You Will Learn

  • Who are the regulators and how do they interact?
  • What lessons can be learned from recent enforcement actions against advisers?
  • What are the SEC’s 2017 exam priorities related to advisers?
  • How does an adviser register with the SEC?
  • What determines whether an adviser is SEC-registered or state-registered?
  • What does an adviser’s fiduciary duty entail?
  • What is the status of the SEC’s Fiduciary Duty Rulemaking?
  • How are conflicts of interest managed and disclosed?
  • What rules apply to adviser advertising?
  • What is the role of the adviser’s Chief Compliance Officer?

Who Should Attend
Attorneys and business professionals seeking to understand investment adviser regulation, should attend this program. Additionally, the program provides a refresher to those already working in the investment adviser industry.

Mayer Brown partner Amy Pershkow will speak on the “Emerging Advisory Services; Robo-Advice; Innovations Re: Wrap and Advisory Programs” panel.

PLI’s New York City Conference Center
1177 Avenue of the Americas (at 45th Street), 2nd Floor
New York, NY 10036

For more information or to register please visit www.pli.edu.