Investment Adviser Regulatory Landscape: Current and Emerging Compliance Priorities

$95.00

Clear
Live Webcast/Rebroadcast – You watch the course online at the specified date and time shown below. You can ask questions and receive answers during the course.
On-Demand – You watch the course anytime and will have access to the course 24/7. Our On-Demand courses are available within 5-10 business days after the original recording and accessible for one year.

Course Description

This course was recorded on August 4, 2021

With a new SEC chair appointed by the Biden administration, attorneys and compliance professionals have an increased focus on compliance policies and procedures adopted under the Investment Advisers Act of 1940.

Speaker Bio
1 General Credit
Course Agenda

Andrew E. Feldman
Andrew E. Feldman has extensive high-level experience in financial services, business management, and legal and compliance matters across liquid and illiquid asset strategies. He has a broad perspective from working in senior asset management and broker-dealer in-house roles, and as a lawyer at the SEC and a top law firm. In particular, he has expertise in hedge and private equity fund structures, as well as capital markets and corporate transactions, and has a proven ability to drive strategic initiatives in fast-paced environments.

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Gary J. Ross
Gary J. Ross focuses his practice on securities law, venture capital and private equity, corporate governance, and general corporate matters.  Gary represents investment funds and private companies at all stages, as well as investors in each.  He has extensive experience structuring investments (including cross-border investments) and advising as to SEC-registered and exempt capital markets transactions, including initial public offerings of common and preferred equity, debt, convertible notes, and digital assets. Gary also regularly counsels registered and exempt investment advisers as to regulatory and compliance issues. His experience includes expert witness engagements in commercial litigation matters.

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Mark M. Strefling
Mark Strefling is recognized as an industry-leading investment management lawyer and regulatory compliance expert.  With over two decades of experience in the alternative investment industry, Mark represents private fund managers in the formation of complex and hybrid private fund structures, capital markets and privately placed investment transactions, and regulatory compliance matters ranging from investment adviser registration and the development of comprehensive compliance policies to high-stakes regulatory examinations, investigations and enforcement actions.

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1 General Credit

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Each On-Demand course is available to you for 1 year from date of purchase. Additionally, CLE credit is only available within that year.

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Course Agenda

  1. Modernizing amendments to the "advertising rule"
  2. Cybersecurity risks, ESG initiatives
  3. SEC examination priorities,
  4. Strategies to evaluate regulatory risks and develop effective comprehensive compliance policies and procedures
Monday: 9am - 6pm ET
Tuesday: 9am - 6pm ET
Wednesday: 9am - 6pm ET
Thursday: 9am - 6pm ET
Friday: 9am - 4pm ET
Saturday/Sunday: Email Only
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