2017 SEC Regulatory and Enforcement Update

Date: 
September 06, 2017 - 10:00 am
Type: 
Webcast
Division: 
FCA (UK) Authorization
Speaker(s): 
Andrew Petillon, Crystal Christian

Join us on Wednesday 6th September At 3:00pm BST/ 10am EST for a webcast with Andrew Petillon, Senior Principal Consultant at ACA Compliance Group and Crystal Christian, Consultant at ACA Compliance Group, for a discussion on 2017 SEC Regulatory and Enforcement Update: 

Webcast Discussion Includes:

  • Overview of proposed rules for SEC registered investment advisers
  • Review of recent SEC examination results
  • Review of recent SEC enforcement actions