1-Hour Program

See Credit Details Below

Overview

This workshop is included as part of your purchase of the SEC Speaks in 2022 On-Demand program, please click here for details.

Workshop A: Division of Investment Management 

Discussions on: 

  • Enforcement initiatives 
  • Fund disclosure and processing developments 
  • Investment Company Rulemakings 
  • No-action letters and exemptive relief updates 
  • Data analytics developments 

Speakers: Division of Investment Management 
Robert H. Shapiro, Branch Chief, IM Liaison Office 
Jay Williamson, Branch Chief, Disclosure Review and Accounting Office 
Angela R. Mokodean, Branch Chief, Investment Company Regulation Rulemaking Office 
Kaitlin C. Bottock, Branch Chief, Chief Counsel’s Office 
David Stevens, Assistant Director, Analytics Office 

Topics
Accounting and financial reporting Investment companies Disclosures (Corporate governance) Enforcement (Securities and other financial products) Investment fund management
Industries
Securities Accounting

Credit Details