The SEC's Regulatory Reset: Staying Ahead of the Curve скачать в хорошем качестве

The SEC's Regulatory Reset: Staying Ahead of the Curve

Before joining us at the Investment Adviser Association (IAA)’s Investment Adviser Compliance Conference and the Investment Company Institute (ICI)’s Investment Management Conference, tune into our latest “Talking Investment Management” podcast episode! This episode, “The SEC's Regulatory Reset: Staying Ahead of the Curve,” features Stradley Ronon executive partner Bruce Leto, a longtime leader in the investment management practice and distinguished speaker throughout ICI’s history of conferences, along with this year’s ICI panelists and Stradley Ronon partners Sara Crovitz, co-chair of the investment management practice (and an IAA panelist), and Jan Folena, co-chair of the securities and regulatory enforcement practice. Listeners will gain insight into: Regulatory updates such as recent additions to the Names Rule FAQs and proposed changes to Form N-PORT. Developments in tokenization, blockchain-based fund registration, and exchange-traded funds. U.S. Securities and Exchange Commission (SEC) exam preparation and strategy and current exam focus areas.