setembro 02 2021

Hot Topics in Investment Adviser Regulation

Share

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 fanderson-vargas@mayerbrown.com or +1 312 701 7795.

Serviços e Indústrias Relacionadas

Stay Up To Date With Our Insights

See how we use a multidisciplinary, integrated approach to meet our clients' needs.
Subscribe