Breaking Legal News & Current Law Headlines | Daily Legal Briefing
  • Home
  • Hot Topics
  • Breaking
  • Business
  • Big Law
  • Small Law
  • Law School
  • Legal Tech
No Result
View All Result
No Result
View All Result
Breaking Legal News & Current Law Headlines | Daily Legal Briefing
No Result
View All Result
Home Small Law

What You Need To Know About Investment Adviser Regulation In 2022

Daily Legal Briefing by Daily Legal Briefing
June 30, 2022
in Small Law
0
What You Need To Know About Investment Adviser Regulation In 2022
4
SHARES
33
VIEWS
Share on FacebookShare on Twitter


blur-gf6a85671c_1920As we enter a bear market and brace for a potential recession, investors are relying on their advisors more than ever for help navigating an ever-changing regulatory landscape.

Legal and compliance personnel at investment advisers are facing many challenges, including comprehensive new regulations regarding market activity and enhanced scrutiny of investment activity in light of new proposed rules related to private funds and cybersecurity.

Advisers are being held to high standards by the SEC for identifying and responding to conflicts of interest, providing and targeting client disclosures, and more. All of this is happening in a business landscape that is constantly being reshaped by the emergence of new developments like digital advice, “break-away” broker-dealers, and innovations in advisory programs.

PLI is offering a one-day program, Fundamentals of Investment Adviser Regulation 2022, which will provide attendees with a solid foundation in the current regulatory regime governing investment advisers. A distinguished panel of experts will offer insights into the most pressing issues facing investment advisers today, such as how the Investment Advisers Act of 1940 and state securities laws interact, the SEC’s adviser exam program, and recent enforcement cases.

Other topics that will be covered include:

  • Who the regulators are and how they interact
  • Lessons to be learned from recent enforcement actions against advisers
  • How the SEC’s new marketing rule will impact adviser advertising and solicitation activity
  • The SEC’s 2022 exam priorities related to advisers
  • How advisers will need to respond to cyber breaches if the SEC’s proposed cyber rule for advisers is finalized  
  • How an adviser registers with the SEC
  • What determines whether an adviser is SEC-registered or state-registered
  • What an adviser’s fiduciary duty entails
  • How to manage and disclose conflicts of interest

Any attorney or business professional who is looking to understand more about investment advisor regulation will benefit from this program. It will also serve as the perfect refresher course for anyone who already deals with these issues on a regular basis. Register today.



Click to Read Original Article

Previous Post

More Law Firms Should Have Alumni Events For Former Associates And Partners

Next Post

Working At A Law Firm Really Isn’t Where It’s At

Daily Legal Briefing

Daily Legal Briefing

The latest breaking legal news from across World all in one place.

Related Posts

How To Write The Best Blog Post Titles
Small Law

Digital Marketing Agency Horror Stories

by Daily Legal Briefing
April 1, 2023
People Love To Threaten Bankruptcy During Litigation
Small Law

People Love To Threaten Bankruptcy During Litigation

by Daily Legal Briefing
March 31, 2023
Disability and Legal Tech Design
Small Law

Disability and Legal Tech Design

by Daily Legal Briefing
March 31, 2023
Managing Remote And Hybrid Teams
Small Law

Why Legal Ops Is Critical During Times Of Economic Uncertainty

by Daily Legal Briefing
March 30, 2023
Someday Notions And Birthday Dreams: Lessons From A Lawyer Mom’s Quest To Write A Book
Small Law

Someday Notions And Birthday Dreams: Lessons From A Lawyer Mom’s Quest To Write A Book

by Daily Legal Briefing
March 30, 2023
Next Post
Working At A Law Firm Really Isn’t Where It’s At

Working At A Law Firm Really Isn't Where It's At

Leave a Reply Cancel reply

Your email address will not be published. Required fields are marked *

Premium Content

Lawyers can use Scott Kelly’s platform to build tools and apps for their practices

Lawyers can use Scott Kelly’s platform to build tools and apps for their practices

February 1, 2022
The Biglaw Partner Lateral Merry-Go-Round Makes A Noteworthy Stop

The Biglaw Partner Lateral Merry-Go-Round Makes A Noteworthy Stop

January 19, 2023
Why Risk Not Knowing What’s In Your Contracts When This Product Can Show You Everything?

Ironclad Unveils New AI-Driven Layer Across Entire Contract Lifecycle

September 16, 2022

Browse by Category

  • Big Law
  • Breaking
  • Business
  • Hot Topics
  • Law School
  • Legal Tech
  • Small Law

About US

Breaking Legal News & Current Law Headlines | Daily Legal Briefing.
Online coverage of breaking legal news and current law headlines from around the US. Top stories, videos, insight, and in-depth analysis.

Categories

  • Big Law
  • Breaking
  • Business
  • Hot Topics
  • Law School
  • Legal Tech
  • Small Law

Recent Updates

  • Digital Marketing Agency Horror Stories
  • New York’s Biglaw Firms Really Flopped Financially Last Year
  • The Legal and Ethical Implications of Workplace Vaccine Mandates

© 2021 Daily Legal Briefing | Breaking Legal News & Current Law Headlines

No Result
View All Result
  • Contact Us
  • Home

© 2021 Daily Legal Briefing | Breaking Legal News & Current Law Headlines

Are you sure want to unlock this post?
Unlock left : 0
Are you sure want to cancel subscription?