The Compliance Year in Review

Date: 
December 14, 2017 -
11:00 am to 12:30 pm
Type: 
Webcast
Division: 
Investment Adviser
Speaker(s): 
Darren Kearns, Manny Halberstam

2017 has been filled with a number of regulatory and industry developments. On December 14, 2017 at 11:00 a.m. EST, please join ACA Compliance Group's Darren Kearns, Senior Principal Consultant and Manny Halberstam, Senior Compliance Analyst for a webcast on The Compliance Year in Review.

This webcast will provide an overview of regulatory compliance developments from 2017 that may affect all types of investment advisers in the coming year. 

Discussion topics will include:

  • Changes at the SEC
  • Examination trends
  • SEC focus areas, risk alerts, and guidance updates
  • Rulemaking developments
  • Noteworthy enforcement actions
  • A look ahead to 2018

Throughout the webcast, the speakers will answer questions and respond to comments from attendees.