Legal Net Meeting - 3.14.13 |
MMI Legal and Compliance Committee Webinar Series
SEC Enforcement 2012 - Year in Review
Implications for Managed Accounts
MMI Net Meeting, Thursday, March 14, 2013
12–1 pm EST
2012 was another record year for the SEC’s enforcement program in the investment management area. Now, OCIE is gearing up for its 2013 priorities.
Please join us for a timely discussion of key developments in the SEC’s enforcement and examination program as they may affect managed accounts. Topics will include a summary of important cases against investment advisers, as well as an analysis of key whistleblower issues, 2012 enforcement trends, and SEC priorities for 2013.
Implications for Managed Accounts
MMI Net Meeting, Thursday, March 14, 2013
12–1 pm EST
2012 was another record year for the SEC’s enforcement program in the investment management area. Now, OCIE is gearing up for its 2013 priorities.
Please join us for a timely discussion of key developments in the SEC’s enforcement and examination program as they may affect managed accounts. Topics will include a summary of important cases against investment advisers, as well as an analysis of key whistleblower issues, 2012 enforcement trends, and SEC priorities for 2013.