1c. IA/IC/PF – SEC Regulatory Review (OPEN)


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 prior to the conference.
Learning Objectives:
• Understand what the regulators view as the current risks and conflicts to investors, investment firms and the broader market, given economic and market developments due to the pandemic.
• 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, proposals, and amendments (Regulation BI, Proxy Voting, Advertising and Cash Solicitation)
• Understand valuation and liquidity challenges such as credit, debt, and illiquid securities, plus fees and expenses

Intermediate                        Program Level: Panel Date: November 8, 2021 Time: 10:00 am - 11:15 am

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