Eversheds Sutherland Legal Insights (audio)

Podcast - Advisers Act Regulatory Series: 2018 Third Quarter Update

Informações:

Sinopsis

On September 13, please join Eversheds Sutherland (US) attorneys Clifford Kirsch, Michael Koffler, Brian Rubin, Issa Hanna, Ben Marzouk, Bria Adams and Sue Lee for our quarterly series of complimentary webcasts dedicated to issues affecting investment advisers. This webcast will focus on adviser regulatory developments and examinations and other important trends, including: Best Execution Risk Alert Update on Trading Away Enforcement SEC Standard of Conduct Rulemaking Update Testimonial and Pay-to-Play Enforcement Cases Share Class Self-Reporting Initiative Update Other Recent Enforcement Cases