The SEC’s Enforcement Actions and Investigations: Managing Compliance Risks
Changes in the Enforcement Division of the U.S. Securities and Exchange Commission (SEC) has become the point of discussion following the appointment of Gary Gensler as chairman. Heightened regulation and reversions are anticipated, particularly on the scope of fees and expenses, conflicts of interest disclosure, misuse of material non-public information, and other risk management policies. Listen as a panel of key thought leaders and practitioners provide a comprehensive discussion on the recent SEC enforcement actions and investigations. Speakers will also offer helpful tips to manage potential risks as well as best compliance practices.