Lowenstein partners Scott H. Moss and Eileen Overbaugh join Brian Davis and Dimitri Mastrocola of Major, Lindsey & Africa for a vibrant discussion of current trends and expected developments in SEC enforcement actions and examination priorities. Discussion points will include recent guidance and actions on insider trading, supervision of branch offices, cross trades and principal transactions, ESG, and numerous other topics currently under review by the Division of Examinations (custody, short selling, vendor review, marketing, digital assets, valuation, investment and expense allocation, privacy and data security, and conflict of interest disclosure).
Scott and Eileen also will discuss recommended updates to Form ADV disclosures and offering and organizational documents.
CLE credit will be provided and a Q&A will follow the presentation.
- Scott H. Moss, Partner & Co-chair, Fund Regulatory & Compliance, Lowenstein Sandler LLP
- Eileen Overbaugh, Partner, Lowenstein Sandler LLP
- Brian T. Davis, Managing Partner, Major, Lindsey & Africa
- Dimitri G. Mastrocola, Partner, Major, Lindsey & Africa
Time: 12 p.m. ET