The Compliance Year in Review

Date: 
January 10, 2019 - 11:00 am to 12:30 pm
Type: 
Webcast
Division: 
Investment Adviser
Speaker(s): 
Lynne Carreiro and Erik Olsen

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.

Discussion Topics

  • 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