December 1, 2016
Division
Investment Adviser
Speaker: Jessica Huelbig, Senior Principal Consultant, ACA Compliance Group
Speaker: Sara Beier, Senior Principal Consultant, ACA Compliance Group
Speaker: Jeff Ziesman, Partner, Bryan Cave LLP
Speaker: Sofya Abrams, Counsel, Sidley Austin LLP
Webcast Discussion Includes:
- Noteworthy enforcement actions
- Examination trends
- SEC focus areas and risk alerts
- Regulatory horizon