transcript   Transcript

Investment Management: Enforcement and Litigation Trends

Recorded on: May. 2, 2018
Running Time: 01:00:37

Full Transcript:

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Taken from the Web Program Investment Management Institute 2018 Recorded April, 2018 in New York [01:00:37]
  • SEC Investment Management enforcement themes
  • Section 36(b) litigation
  • Litigation under the Securities Act of 1933 and the Securities Exchange Act of 1934
  • 401(k) plan litigation

Barry P. Barbash (Panel Leader); Anthony S. Kelly, Lori A. Martin, Sean M. Murphy

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • Recent Trends in SEC Investment Management Enforcement Actions: A Summary Chart
    Barry P. Barbash
  • Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Speech, Remarks at the PLI 49th Annual Institute on Securities Regulation: Governance and Transparency at the Commission and in Our Markets (November 8, 2017)
    Barry P. Barbash
  • Stephanie Avakian, Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission, Speech, The SEC Enforcement Division’s Initiatives Regarding Retail Investor Protection and Cybersecurity (October 26, 2017)
    Barry P. Barbash
  • U.S. Securities and Exchange Commission, Division of Enforcement, Annual Report: A Look Back at Fiscal Year 2017
    Barry P. Barbash
  • Sean M. Murphy, Robert C. Hora and Benjamin J. Reed, Developments in Litigation Under Section 36(b) of the 1940 Act (January 5, 2018)
    Sean M. Murphy
Presentation Material
  • The Investment Management Institute: Enforcement Trends and Themes
    Lori A. Martin
    • (s)
      Barry P. Barbash ~ Willkie Farr & Gallagher LLP
      Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
      Lori A. Martin ~ WilmerHale LLP
      Sean M. Murphy ~ Milbank, Tweed, Hadley & McCloy LLP
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