The fourth session of our 14th Annual Investment Management Regulatory University—a series of webinars this year—will discuss 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. Please join Mayer Brown partners Stephanie Monaco, Richard Rosenfeld, Matthew Rossi, Matthew Kluchenek and Gina Parlovecchio as they address 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 credit is pending.

Have a scheduling conflict? Register for the live webinar, and we will send you a link to the webinar recording and related slide deck shortly after the broadcast date. Please note that to receive CLE credit, you must attend the live program; you will not be eligible for CLE credit based on listening to the recording.

United States
12:00 p.m. – 1:30 p.m. EDT
11:00 a.m. – 12:30 p.m. CDT
10:00 a.m. – 11:30 a.m. MDT
9:00 a.m. – 10:30 a.m. PDT

5:00 p.m. – 6:30 p.m. BST
6:00 p.m. – 7:30 p.m. CEST

For additional information, please contact Franceska Anderson-Vargas at or +1 312 701 7795.