Investment Adviser Compliance and Reporting: Latest Developments
Oversight of Service Providers, Amended Marketing Rule, ESG Reporting Requirements, SEC Examination Priorities
Recording of a 90-minute premium CLE video webinar with Q&A
This CLE course will examine the current regulatory and enforcement landscape for investment advisers. The panel will discuss recently proposed SEC rules regarding oversight of third-party service providers, the amended Marketing Rule, the private fund adviser rule proposal, reporting requirements for advisers of ESG-focused funds, and current Division of Examinations priorities. The panel will also discuss issues of particular concern for exempt reporting advisers.
- General regulatory framework around RIAs and exempt reporting advisers
- The amended Marketing Rule
- Proposed private fund adviser rule
- Proposed rule regarding outsourcing of investment adviser functions
- Additional disclosure obligations required for ESG-focused funds
- Current Examinations hot buttons for RIAs and ERA
The panel will review these and other key issues:
- What is this SEC doing with respect to the Marketing Rule?
- Under the new proposed Rule 206(4)-11, what additional due diligence and monitoring must be done before outsourcing a "covered function"?
- Where has the SEC expected to focus its inspection of registered investment advisers and exempt reporting advisers in 2022?
- What are trends to watch in SEC enforcement related to investment advisers?
- What additional reporting obligations are required of investment advisers of ESG-focused funds under the proposed regs?
Willkie Farr & Gallagher
Mr. Aderton’s practice focuses on regulatory enforcement matters and white collar defense. He has particular... | Read More
Mr. Aderton’s practice focuses on regulatory enforcement matters and white collar defense. He has particular experience in regulatory inquiries and litigation involving the asset management industry, including matters involving private equity funds, hedge funds, venture capital funds, mutual funds, ETFs, business development companies, and separately managed accounts. In addition to representing clients in connection with SEC and other government examinations, investigations, and litigations, Mr. Aderton provides compliance counseling to asset managers.Close
Anne C. Choe
Willkie Farr & Gallagher
Ms. Choe is a partner in Willkie’s Asset Management Group. She advises a wide range of pooled investment... | Read More
Ms. Choe is a partner in Willkie’s Asset Management Group. She advises a wide range of pooled investment vehicles, including mutual funds, exchange-traded funds (ETFs), private funds (hedge funds, private equity funds and venture capital funds) and their sponsors and investment managers. Ms. Choe has in-depth knowledge of the various securities and other laws applicable to pooled vehicles and regularly counsels investment advisers and family offices on a variety of SEC regulatory filings and compliance matters.Close