SEC Developments: Implications, Issues and Solutions

Date:
02/02/2021

Please join us for a webinar covering a summary and analysis of recent SEC developments impacting advisers and funds, including a preview of the regulatory environment under the incoming Administration. Participants will gain key insights on the impact of these recent developments and upcoming changes, as well as practical solutions to meet upcoming challenges.

Topics include:

  • Recent SEC Developments and Updates
    • Impact of Departures - SEC Chairman and Division Directors
    • Recent Rulemaking and Split Decisions
    • Enforcement Actions Impacting Funds and Advisers
    • Recent Exam Developments and Experiences
    • COVID’s Continuing Impact on SEC Activities

  • Expected Biden/Harris Regulatory Environment
    • Chairperson and the Remaining Commissioners
    • Anticipated Policy Changes and Priorities
    • Likely Enforcement Changes
    • Potential Exam Changes

  • Implications, Issues and Solutions
    • Exam Preparation
    • Enforcement Prevention
    • Liability Implications and Mitigation

Speakers:

Kit Addleman – Partner, Haynes and Boone, LLP
Kimberly Garber – Founder/Chief Executive Officer, CORE-CCO

Tuesday, February 2, 2021
11:00 a.m. - 12:00 p.m. CT

CLE:

Texas: This course has been approved for Minimum Continuing Legal Education credit by the State Bar of Texas Committee on MCLE in the amount of 1.0 credit hour, of which 0.25 credit hour can be applied toward the Ethics requirement.
New York: This transitional program has been approved in accordance with the requirements of the New York State CLE Board for a maximum of 1.0 credit hour, of which 1.0 credit hour can be applied toward the Areas of Professional Practice requirement.
California: This activity is approved for MCLE credit by the State Bar of California in the amount of 1.0 credit hour, of which 0.25 credit hour can be applied toward the Ethics requirement.

CPE: We are a registered CPE Sponsor with the Texas State Board of Public Accountancy and are offering 1 credit hour for this seminar (no prerequisite required).

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