SEC Examination and Enforcement Priorities: 2019 New York Investment Management Conference

Vincente Martinez, Neil Smith
K&L Gates LLP
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AGENDA -

- SEC Enforcement and Exams in 2019

- Risk Alerts and Other Hot Button Issues

- Enforcement Priorities and Selected Actions Pertaining to Investment Management

- A Review of Recent SEC Statements and Developments in Areas of Regulatory Development, Including Cybersecurity and Digital Assets

- Being Smart about OCIE Exams: Rules of the Road for Avoiding Referrals to Enforcement

Please see full publication below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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