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On-Demand

ON DEMAND: SEC Examination and Enforcement: Areas of Focus for the Asset Management Industry


Course Number: C0324IM12O
Original Program Date: June 5, 2024
Duration: 1 hour 26 minutes
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Category: Communities, Administrative Law and Agency Practice, Corporation, Finance and Securities Law
Category: Communities, Administrative Law and Agency Practice, Corporation, Finance and Securities Law (show less)
Credit: 0 CLE Credit Hours

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. 


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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:

  • Meaghan Kelly, Partner, Simpson Thacher & Bartlett LLP 
  • 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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