SEC Trends and Initiatives

Date: 
October 31, 2017 -
11:00 am to 12:00 pm
Type: 
Webcast
Division: 
Investment Adviser
Speaker(s): 
Todd Humphrey, Charles LaRosa

Please join us on Tuesday, October 31 at 11 a.m. EST for a webcast that will provide updates regarding SEC trends and initiatives related to investment advisers.  You will hear from ACA Compliance Group’s Todd Humphrey and Charles LaRosa as they discuss regulatory, examination and enforcement trends and focus areas.

Discussion topics will include:

  • Regulatory priorities
  • Current SEC initiatives
  • Recent examination experiences
  • New and evolving focus areas
  • Examination results
  • Recent enforcement actions