1e. IA/PF – Regulatory Filings: Requirements, Pitfalls and Best Practices (Intermediate - OPEN)

This panel will discuss the various regulatory filing requirements for investment advisers and private funds.  The session will highlight the necessary and timely filings that may be applicable, how best to monitor them, ensure adequate up-to-date policies and procedures, and review recent SEC Alerts.   

This session is open to regulators but closed to members of the press.

Learning Objectives:

• Master the complexity of different filing types and the requirements for each.

• Enact a process for applying rules and procedural updates to filing practices.

• Assess recent SEC Alerts and enforcement actions related to late or no filings.

• Consider best practices and available technology for monitoring submission timeliness and accuracy.

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