Overview
Join us for a virtual roundtable discussion regarding the changing securities regulatory and enforcement landscape.
The election of Joe Biden and his subsequent nomination of Gary Gensler as the next chairman of the US Securities and Exchange Commission (SEC) almost certainly will lead to changes in the regulation of investment managers. These changes will likely include new and revised compliance obligations, as well as increased enforcement activity. Hear from civil, regulatory and white-collar lawyers from McDermott and industry leaders from Deloitte as they discuss the following predicted changes, and what you should be doing to prepare your business.
Topics include:
- Top personnel changes at the SEC and what those changes may mean for registered investment managers
- New enforcement efforts with respect to insider trading and market manipulation claims
- The role of the US Attorney’s Office in securities enforcement going forward
- The critical importance of internal policies and procedures
