AGENDA -
- SEC Enforcement and Exams in 2019
- Risk Alerts and Other Hot Button Issues
- Enforcement Priorities and Selected Actions Pertaining to Investment Management
- A Review of Recent SEC Statements and Developments in Areas of Regulatory Development, Including Cybersecurity and Digital Assets
- FINRA Developments
- Mutual Fund Litigation (Fiduciary Duty/Excessive Fee Lawsuits)
Please see full publication below for more information.