Agendas
Speaker Bios
Outline
Preparing for a Regulatory Deluge
- IAA: Select SEC Rulemakings Affecting Investment Advisers – Effective and Compliance Dates
- Ropes & Gray: SEC Proposes to Regulate Investment Advisers’ Outsourcing, Recordkeeping Included
- ACA Group: U.S. Regulatory Update, June 2023
- ACA Group: Regulatory Update, December 2022
- Morgan Lewis: New SEC Rule Requires 13F Filers to Track and Report on Proxy Voting
- Ropes & Gray: SEC Expands Proxy Voting Reporting by Registered Funds and Requires Reporting of Executive Compensation Votes by Form 13F Filers
- Willkie Farr & Gallagher: SEC Adopts Proxy Voting and Say-on-Pay Voting Disclosure Requirements for Registered Investment Companies and Institutional Investment Managers
- ACA Group: Tip for Updating Your Compliance Program: Enhanced Proxy Voting Requirements
- Morgan Lewis: SEC Adopts Amendments to Form PF Impacting Advisers to Large Liquidity Funds
- IAA Today/Ropes & Gray: Say-On-Pay Proxy Voting Reporting Requirements for Form 13F Filers
- Morgan Lewis: SEC Amends Form PF To Expand Hedge Fund and Private Equity Fund Disclosure
- Ropes & Gray: Analysis of Amendments to Form PF
- VedderPrice: Investment Services Regulatory Update, July 2023
- Willkie Farr & Gallagher: SEC Adopts Amendments to Form PF to Enhance Private Fund Reporting
New and Notable Focus Areas in SEC Examinations
- SEC Risk Alert: Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents
- Ropes & Gray: SEC Examination Trends and Priorities
- Morgan Lewis: Current Developments in SEC and FINRA Examinations and Enforcement
- ACA Group: What Your Next Deficiency Letter is Going to Say: SEC Tells Advisers What Fiduciary Duty Means
- Willkie: Sample Business Communications Certificate
- Willkie: Sample Business Communications Search Terms
- Morgan Lewis: Impact of SEC’s Expanded Investigations into Off-Platform Messaging
- ACA Group: Regulatory Enforcement of Off-Channel Communications