transcript   Transcript

Investment Adviser: Compliance, Exams, Enforcement

Recorded on: Jun. 27, 2018
Running Time: 01:00:44

Full Transcript:

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Taken from the Web Program Fundamentals of Investment Adviser Regulation 2018 Recorded June 2018 in New York

Investment Adviser: Compliance, Exams, Enforcement [01:00:44]
  • How does the SEC conduct adviser exams?
  • What type of enforcement authority does the SEC have with respect to advisers?
  • What are the SEC’s 2018 exam priorities?

Mary P. Hansen, Christopher Michailoff, Steven A. Yadegari

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert—Volume VII, Issue 2, Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers (April 12, 2018)
    Clifford E. Kirsch
Presentation Material
  • Investment Adviser: Compliance, Exams, Enforcement
  • Mary P. Hansen, Christopher Michailoff, Steven A. Yadegari
    Mary P Hansen ~ Drinker Biddle & Reath LLP
    Christopher Michailoff ~ Senior Director and Associate General Counsel, TIAA
    Steven A. Yadegari ~ Chief Operating Officer and General Counsel, Cramer Rosenthal McGlynn, LLC
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