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ON DEMAND: SEC Examination and Enforcement: Areas of Focus for the Asset Management Industry
This program includes a panel of experts that will discuss recent areas of focus by the SEC's Divisions of Examinations and Enforcement with respect to the asset management industry. The discussion will provide key information regarding recent risk alerts, such as those related to the SEC's new marketing rule as well as practical takeaways from recent enforcement actions. Are you a current law student and looking to register for one of our programs? Learn about the D.C. Bar Law Student Community and attend most individual programs at a discounted rate. Find out more here. Sponsored by:Investment Management Committee of the D.C. Bar Corporation, Finance and Securities Law Community Co-Sponsored by:Enforcement of Securities Matter Committee of the Corporation, Finance and Securities Law Community Related Community of Interest: D.C. Bar Administrative Law and Agency Practice Community Program Partner:Debevoise & Plimpton LLP Speakers:
Carrie O'Brien, Assistant Director, Office of Chief Counsel, Division of Examinations, U.S. Securities and Exchange Commission
Julie Riewe, Partner, Debevoise & Plimpton LLP
Igor Rozenblit, Managing Partner, Iron Road Partners
Corey Schuster, Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
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