Our 15th Annual Investment Management Regulatory University is a series of webinars designed to be insightful and practical while providing business-focused guidance on dealing with the challenges of the changing regulatory landscape in the fund industry.
September 30, 2021: Attorney Conduct Rules & Escalation of Issues
September 21, 2021: Enforcement Trends Affecting Investment Advisers and Other Fiduciaries
- SEC Increasingly Turns Focus Toward Strength of Cyber Risk Disclosures
- SEC’s Division of Examinations 2021 Exam Priorities – Investment Advisers and Investment Companies
- Congress Slips Steroids to SEC Enforcement to Strengthen the SEC’s Authority to Seek Disgorgement in Federal Court
- SEC Enforcement Annual Report FY2020: Key Takeaways and Trends
- Wake-Up Call? SEC Enforcement Action Against Trust Company for Unregistered Collective Trust Funds
- SEC Amends Whistleblower Program
September 14, 2021: Highlights of the Advisers Act New Marketing Rule
September 2, 2021: Hot Topics in Investment Adviser Regulation
- The US Moving Toward Adopting New Climate Disclosures (Jun 2021)
- U.S. Department of Labor Weighs in on Cybersecurity for ERISA Plan (May 2021)
- SEC Examinations Division Issues Risk Alert on ESG Products and Services (Apr 2021)
- US SEC Welcomes Public Input on Climate Change Disclosures (Mar 2021)
- US SEC Announces the Creation of a Climate and ESG Task Force (Mar 2021)
- DOL Announces Non-Enforcement Policy of Recent ESG and Proxy Voting Rules (Mar 2021)
- SEC’s Division of Examinations 2021 Exam Priorities – Investment Advisers and Investment Companies (Mar 2021)
- SEC Examinations Division Issues Risk Alert Regarding Digital Assets (Mar 2021)
- Fintech Companies Face Investment Company Status Challenges (Feb 2021)
- The Growth of ESG in Fund Finance and Other financial Products in the US (Jan 2021)
- SEC Staff Issues No-Action Relief for Custody of Certain Loan Interests Under the ICA (Jan 2021)
- SEC’s OCIE Publishes Investment Adviser Branch Office Risk Alert (Dec 2020)
- SEC’s OCI Publishes Risk Alert Providing its Observations of IA Compliance Programs (Dec 2020)
- The Department of Labor’s ESG-less Final ESG Rule (Nov 2020)
- SEC’s OCIE Issues Warning to Registrants Regarding Complex Exchange Traded Products (Nov 2020)
- SEC Adopts Fund of Funds Arrangements Rule (Oct 2020)
