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SEC Asset Management Priorities and Insights from the Bar

Monday, March 19, 2018 12:30 PM to 2:00 PM
Boston Bar Association - 16 Beacon Street, Boston, MA


SEC examination and enforcement staff will give an update on asset management priorities and initiatives, with a focus on private fund examinations and investigations.  Topics to discuss will include MNPI, cybersecurity, valuation, principal trading and trade allocation, fees and expenses, and the role of gatekeepers.  In addition, an experienced securities law attorney and former SEC employee will provide insights regarding asset management exams and enforcement matters from the perspective of private sector practitioners. 

Registration Categories:
BBA Member – Free. Included as part of your membership.
Non-Member - $100.00

Sponsoring Section/Committee(s):




Carolyn Barrett


BBA Event Calendar