As COVID-19 continues to impact global markets, the US Securities and Exchange Commission (“SEC”) and other regulators have recently provided guidance and targeted relief in recognition of the potential disruption that COVID-19 may have on market participants regulated by the SEC.
Please join Mayer Brown lawyers Leslie Cruz, Stephanie Monaco, Marlon Paz and Matthew Rossi as they take an in-depth look at certain COVID-19-related guidance that impacts investment advisers and broker-dealers, including:
- What is the scope of “essential business services” for RIAs, broker-dealers and dual registrants?
- What questions are OCIE/Enforcement asking firms?
- What is the status of OCIE/Enforcement operations?
- What are likely areas of OCIE/Enforcement focus?
- What should firms be doing from a defensive posture?
CLE is not available when viewing a recording of this program. In order to receive credit you must have attended the live webinar program.