Webinar | Updating your Compliance Calendar: U.S. Regulatory Priorities for 2023
This webinar, which is offered to legal and compliance professionals, will provide an overview of recent and upcoming changes to the applicable regulations for SEC-registered and unregistered advisers, as well as some practical tips for compliance.
The U.S. federal securities laws impose a variety of reporting and compliance obligations that apply in certain circumstances to investment managers based outside of the U.S., as well as the funds that they manage. To assist investment managers in planning for the year ahead, Karen Anderberg and Laurel Neale will discuss recent SEC inspection and enforcement priorities, as well as the proposed rules and upcoming developments that will be most likely to affect them. They will also briefly review certain periodic reporting and compliance obligations that most typically apply to non-U.S.-based investment managers.
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