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