Regulatory Compliance Association Reviews

Upcoming PracticEdge Elite Sessions

SEC Enforcement Under Trump – Fund Managers in the Crosshairs

Practice Edge 02

Date: December 08, 2016
General Session: 12 Noon to 1:30 PM EST
Location: Webcast (Free)

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Investment advisors today are under fire from the SEC like never before. The SEC has expressly singled out the industry, and recently has begun to employ an increasingly aggressive set of DOJ-inspired enforcement tactics. This course will provide the tools for recognizing what these tactics are and how to respond to them. In particular, it focuses on the SEC’s heavy reliance on procedurally deficient in-house administrative proceedings (where the agency is much more likely to succeed than in federal court); the resulting pressure to settle weak cases; the SEC’s practice of requiring admission of wrongdoing as a settlement condition; the Commission’s increasing use of whistleblowers; and its escalation of enforcement against individuals – in particular, chief compliance officers. The course also addresses two emerging foci for the SEC: misleading marketing materials and private equity firm liability for operating as unregistered broker-dealers.

Participants will master the following within this class session:

  • Recognize the SEC’s aggressive targeting of investment advisors.
  • Distinguish the procedural protections of federal court from the lesser ones of the SEC’s administrative proceedings.
  • Define the ways that the SEC uses administrative proceedings to its great advantage.
  • Analyze how emerging SEC enforcement tactics create pressure to settle weak cases.
  • Recognize the SEC’s increasingly prevalent practice of requiring admission of wrongdoing as a condition of settlement.
  • Identify the SEC’s concrete threats to fund executives and chief compliance officers.
  • Discover the imminent dangers that investment advisors face from the SEC and the ways that firms can proactively mitigate these dangers.

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellows from Practice:

Roel Campos, JD, Partner, Chair, Securities Enforcement Practice, Hughes Hubbard
Terence Healy, JD, Partner, Vice Chair, Securities Enforcement Practice, Hughes Hubbard
Richard Swanson, JD, General Counsel, York Capital Management

Register for All Upcoming Sessions:

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UPCOMING SESSIONS

Regulation of Valuation

Date: January 17, 2017
General Session: 12 Noon to 1:30 PM ET
Location: Webcast (Free)

Redemptions, Gating, and Liquidity – Emerging Issues and Concerns

Date: January 18, 2017
General Session: 12 Noon to 1:30 PM ET
Location: Webcast (Free)

Personal Liability for Fund Managers & RIAs

Date: January 19, 2017
General Session: 12 Noon to 1:30 PM ET
Location: Webcast (Free)

NEW FORM ADV Requirements & Performance Reporting

Date: January 24, 2017
General Session: 12 Noon to 1:30 PM ET
Location: Webcast (Free)

Investment Advisers Succeeding with Social Media

Date: January 26, 2017
General Session: 12 Noon to 1:30 PM ET
Location: Webcast (Free)

Custody

Date: January 31, 2017
General Session: 12 Noon to 1:30 PM ET
Location: Webcast (Free)

OCIE Issues Risk Alert On Whistleblower Rule Compliance

Date: February 2, 2017
General Session: 12 Noon to 1:30 PM ET
Location: Webcast (Free)

Fund Distribution

Date: February 16, 2017
General Session: 12 Noon to 1:30 PM ET
Location: Webcast (Free)

Register for All Upcoming Sessions:

Register Now