Recent Developments and Hot Topics in Investment Adviser Compliance
Please join us for an engaging live webcast with the Acting Director of the Securities and Exchange Commission’s Division of Examinations (EXAMS). Together, we'll discuss SEC’s exam priorities, compliance challenges, and what to expect from the Gary Gensler administration.
CLE credit is pending.
- Daniel S. Kahl, Acting Director, Division of Examinations, U.S. Securities and Exchange Commission
- Carlo di Florio, Chief Services Officer, ACA Compliance Group
- Dan Mistler, Partner, ESG, ACA Compliance Group
- Ranah Esmaili, Partner, Sidley Austin LLP
- Laurin Blumenthal Kleiman, Partner, Sidley Austin LLP
- Simon Saddleton, Partner, Sidley Austin LLP
Among other topics, the presentation and discussion will explore:
- EXAMS Developments, including Launch and Focus of the Event and Emerging Risk Examination (EERT) Team
- Current Focus on Environmental, Social and Governance and Climate Change
- Digital Assets and Blockchain
- Alternative Data Providers
- Recent Market Events and Investigations Regarding Cybersecurity and Readiness
We encourage you to prepare questions for the speakers. You may submit your questions live during the broadcast through the webcast platform. Alternatively, you may submit your questions in advance by emailing email@example.com no later than Monday, November 8, 2021, and we will ask them anonymously during the program.
For more information or questions, please contact firstname.lastname@example.org.
The information provided at this program does not constitute legal advice. This program will not be recorded and is not for attribution.