Ethical Issues for Investment Advisers

The fifth and final session of our 14th Annual Investment Management Regulatory University—a series of webinars this year—discussed ethical issues for investment advisers, including congressional investigations and subpoenas, related and recent privilege issues, executive branch and internal investigations, and best practices for avoiding foot faults. Mayer Brown lawyers Stephanie Monaco, Lee Rubin, Michele Cerezo-Natal and Andrew Olmem addressed:

• The differences between congressional investigations and executive branch investigations
• The impact of the Supreme Court’s Mazars decision on privilege in congressional investigations
• The impact of the D.C. Circuit’s recent McGahn decision on congressional subpoenas
• The challenge of establishing the lines between compliance and legal for internal investigations
• Possible privilege pitfalls of compliance reviews of regulatory violations
• Establishing protocols and best practices for the well-intentioned compliance officer

CLE is not available when viewing a recording of this program. In order to receive credit you must have attended the live webinar program.