1a. IA/IC – Regulatory Review (Intermediate)

SEC regulators will help compliance professionals understand and manage the current regulatory landscape, regulatory initiatives and their impact to their businesses. Attendees will have the opportunity to submit questions anonymously.

Learning Objectives:

  • Understand what the regulators view as the current risks to investors, investment firms and the broader market, given the economic developments over the last year
  • Understand what the SEC views as their current and future priorities and how those may impact your businesses and compliance programs
  • Discuss where the SEC stands on new rules and rule proposals and amendments given the administration’s statement regarding withdrawing rules at the same time (Regulation BI, Proxy Voting, Advertising and Cash Solicitation).
  • Understand how rules and regulations in foreign jurisdictions play a role in the rule-making process here in the U.S. (GDPR, European Directives on Money Laundering, etc.)


Sponsored by:


Intermediate                        Program Level: Date: October 19, 2020 Time: 10:00 am - 11:15 am Natasha Greiner Patrick Hayes Jacob (Jay) Krawitz

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For More Information, Contact Us:

(860) 672-0843 info@nscp.org