June 25, 2018

Investment Adviser: Compliance, Exams, Enforcement


Philadelphia partner Mary Hansen spoke at the Practising Law Institute (PLI)’s Fundamentals of Investment Adviser Regulation 2018 event on June 25, 2018, in New York City. The event educated attendees on the regulatory regime applicable to investment advisers, including the Investment Advisers Act of 1940 and state securities laws, as well as current “hot topics.”

Mary participated in the panel titled “Investment Adviser: Compliance, Exams, Enforcement,” which will focus on how the Securities and Exchange Commission (SEC) conducts adviser exams, the type of enforcement authority the SEC has with respect to advisers, and the SEC’s 2018 exam priorities.

Learn more about Fundamentals of Investment Adviser Regulation 2018.

Fundamentals of Investment Adviser Regulation 2018

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