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.