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Fundamentals of Investment Adviser Regulation 2014

On-Demand Web Programs  On-Demand Web Programs    

From the program: Fundamentals of Investment Adviser Regulation 2014

Released on: Jul. 30, 2014

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking and enforcement to impose a greater degree of controls on investment advisers’ operations. In fact, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.In this ...

Featured Faculty/Authors
Oren Bass

Oren Bass ~ Co-Founder, Pave, Inc.

Brad L. Peterson

Brad L. Peterson ~ Mayer Brown LLP

John F. Delaney

John F. Delaney ~ Morrison & Foerster LLP