Fundamentals of Investment Adviser Regulation 2020
September 23, 2020
September 23, 2020
Over the past few years, the SEC has put the regulation of investment advisers under the microscope, with advisers a major focus of the SEC’s 2020 enforcement and exam program. As part of this focus, 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 the same time, the business landscape is dynamic with the emergence of digital advice, “break-away” broker dealers and continued innovation regarding advisory programs, including model-based programs. At this program, attendees will get a solid foundation in the regulatory regime applying to investment advisers.
Join Peter Rosenblum and other panelists for a discussion on 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.
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