June 25, 2018

Investment Adviser: Compliance, Exams, Enforcement

Overview

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.


Location
Fundamentals of Investment Adviser Regulation 2018

Services and Industries

The Faegre Drinker Biddle & Reath LLP website uses cookies to make your browsing experience as useful as possible. In order to have the full site experience, keep cookies enabled on your web browser. By browsing our site with cookies enabled, you are agreeing to their use. Review Faegre Drinker Biddle & Reath LLP's cookies information for more details.