Overview

Taken from the Audio-only Briefing Investment Management (The SEC Speaks in 2019: Workshop G) Recorded April 2019 in New York

Investment Management (The SEC Speaks in 2019: Workshop G) [00:58:41]

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

Speakers: Division of Investment Management
David Nicolardi, Senior Counsel, Chief Counsel’s Office
Laura Hatch, Branch Chief, Analytics Office
David Marcinkus, Branch Chief, Chief Counsel’s Office
Sumeera Younis, Branch Chief, Disclosure Review and Accounting Office



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