Enforcement Trends Affecting Investment Advisers and Other Fiduciaries

The third session of our 15th Annual Investment Management Regulatory University will focus on key enforcement priorities that investment advisers and firms engaged in the financial services industry need to monitor and manage for the remainder of 2021. Under US Securities and Exchange Commission (SEC) Chairman Gensler, who has promised to strengthen transparency and accountability in the financial markets, we expect the SEC’s Division of Enforcement to be better resourced, highly active and more aggressive. In this webinar, we will discuss enforcement activity and possible trends to prepare for as the new regime’s enforcement initiatives gain momentum. Please join Mayer Brown partners Stephanie Monaco, Richard Rosenfeld, Matthew Kluchenek and Glenn Vanzura as they address the following topics:

Division of Examinations Exam Priorities and Change in Tone
Insider Trading Enforcement Focus on Section 204A
CFTC Enforcement Focus on Supervisory Structures, Uses of Surveillance and Controls
DoJ Interests in Commodities Fraud
SEC Fraud Case Escalation involving Investment Managers

Please visit 15th Annual Investment Management Regulatory University for presentation materials and related articles to our webinar series. To view a recording of the webinar, please contact Franceska Anderson-Vargas at fanderson-vargas@mayerbrown.com or +1 312 701 7795.