CCO Roundtable: Emerging Regulatory and Criminal Enforcement Risks for Investment Advisers

On October 23, Mayer Brown co-hosted with EisnerAmper a private CCO roundtable luncheon focusing on “Emerging Regulatory and Criminal Enforcement Risks for Investment Advisers.” Mayer Brown partners Glen Kopp and Gina Parlovecchio were featured speakers and facilitated discussions covering key issues facing the asset management sector, including:

• The overlap of regulatory and criminal enforcement;
• Potential enforcement focus under new/old administration;
• AML enforcement and practical approaches for complying with new regulations; and
• Whistleblower protection programs of the SEC/CFTC/DOJ.