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SEC Trends and Initiatives
SEC Trends and Initiatives
 

October 11, 2016

Division
Investment Adviser

Speaker: Ali Delman, Senior Principal Consultant, ACA Compliance Group
Speaker: Erika Chua, Consultant, ACA Compliance Group
Speaker: Lisa Klar, Senior Counsel, Simpson Thacher


Webcast Discussion Includes:

  • SEC rulemaking and proposed rules
  • SEC initiatives and new offices
  • Trends in examination structure, focus areas, and findings
  • Enforcement trends