The Compliance Year in Review

Date: 
December 11, 2019 - 11:00 am to 12:00 pm
Type: 
Webcast
Division: 
Investment Adviser
Speaker(s): 
ACA Compliance Group's Erik Olsen and Anne Wallace

2019 has been filled with a number of regulatory and industry developments. On Wednesday, December 11, 2019 at 11:00 a.m. EST please join ACA Compliance Group's Erik Olsen, Managing Director and Anne Wallace, Consultant 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 2019, and what to expect in 2020.

This webcast will cover:

  • Rule proposals and adoption
  • Examination trends
  • SEC focus areas, risk alerts, no action letters, and guidance updates
  • Noteworthy enforcement actions
  • A look ahead to 2020

All webcasts are recorded and sent to registrants following the broadcast