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Philadelphia Bar Association

Topcap Invite

Date:
Friday, December 08, 2017

Time:
12:30 PM

Location:
Philadelphia Bar Association
11th Floor Conference Center
1101 Market Street
Philadelphia, PA 19107

1 SUB

Registration Info:
Lunch and registration:
12:00 PM

Program:
12:30 PM - 1:30 PM

CLICK HERE TO REGISTER FOR THIS CLE PROGRAM

Featured Speaker:

Mark J. Dowdell
Assistant Regional Director
U.S. Securities and Exchange Commission
Philadelphia

Current Topics in Investment Company and Investment Adviser Regulation

CLE - Investment Company and Investment Adviser Regulation

Hosted by the Investment Companies Committee of the Business Law Section

In this luncheon CLE program, featured speaker, Mark J. Dowdell, Assistant Regional Director, U.S. Securities and Exchange Commission (SEC), will address current topics of interest to practitioners in the investment company and investment advisory fields.

Mr. Dowdell will offer guidance regarding SEC examination priorities and the focus of Office of Compliance Inspections and Examinations (OCIE) inquiries.

Additional topics that may be covered include:

  • Status of proposed rulemaking
  • Implementation of recently adopted rules (such as reporting modernization and the liquidity rule)
  • Legal and Regulatory Developments

If you practice in the investment company and/or investment advisory field, this is a 'can't miss' program! Join your colleagues for lunch and an informative hour with an SEC official.

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Best of 2017 CLE

Bottomcap Invite