2018 has been filled with a number of regulatory and industry developments. On Thursday, January 10, 2019 at 11:00 a.m. ET please join ACA Compliance Group's Lynne Carreiro, Managing Director and Erik Olsen, Director for a webcast on The Compliance Year in Review.
This webcast will provide an overview of investment adviser and registered investment company compliance developments from 2018, and what to expect in 2019.
- Changes at the SEC
- Examination trends
- SEC focus areas, risk alerts, no action letters, and guidance updates
- Noteworthy enforcement actions
- A look ahead to 2019