Videocast: Asset management regulation in 2020 videocast series – SEC’s OCIE exam priorities

Eversheds Sutherland (US) LLP
Contact
The SEC’s Office of Compliance Inspections and Examinations recently announced its 2020 examination priorities, which focus on key areas of risk for the financial services and asset management industries.

This Bottom Line videocast discusses:

SEC’s focus on protecting retail investors, including senior investors, retirement investors, and teachers and military personnel

unique regulatory issues for dual-registrant broker-dealers and See more +

The SEC’s Office of Compliance Inspections and Examinations recently announced its 2020 examination priorities, which focus on key areas of risk for the financial services and asset management industries.

This Bottom Line videocast discusses:

SEC’s focus on protecting retail investors, including senior investors, retirement investors, and teachers and military personnel

unique regulatory issues for dual-registrant broker-dealers and investment advisers

financial technology innovation, including digital assets and electronic investment advice See less -

Embed
Copy

Other MultiMedia by Eversheds Sutherland (US) LLP

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.

© Eversheds Sutherland (US) LLP | Attorney Advertising

Written by:

Eversheds Sutherland (US) LLP
Contact
more
less

Eversheds Sutherland (US) LLP on:

Reporters on Deadline

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
Custom Email Digest
- hide
- hide

This website uses cookies to improve user experience, track anonymous site usage, store authorization tokens and permit sharing on social media networks. By continuing to browse this website you accept the use of cookies. Click here to read more about how we use cookies.