|| June 26: "Fundamentals of Investment Advisor Regulation 2017," sponsored by the Practising Law Institute, will be held in New York, NY at the PLI New York Center. Over the past few years, the SEC has put the regulation of investment advisers under the microscope, with advisers becoming a major focus of the SEC’s 2017 enforcement and exam program. The SEC has set high expectations for advisers in identifying and responding to conflicts of interests and for providing robust and targeted client disclosures. At this program, attendees will get a solid foundation in the regulatory regime applying to investment advisers. Attendees will learn how the Investment Advisers Act of 1940 and state securities laws interact in governing the advisory industry. In addition to providing a solid foundation, the program will provide extensive discussion and analysis regarding “hot topics” facing advisers today. A distinguished faculty will offer insights into recent developments, including the SEC’s adviser exam program and recent enforcement cases. For further information and to register for this event, call 800-260-4PLI or visit www.pli.edu
Regis Fee: $1,695.00.