Over the past few years, the SEC has put the regulation of investment advisers under the microscope, with advisers a major focus of the SEC’s 2020 enforcement and exam program. As part of this focus, the SEC has set high expectations for advisers in identifying and responding to conflicts of interests and for providing robust and targeted client disclosures.
New York partner Kay Gordon joins the faculty of Practising Law Institute and will discuss retail advisory services and investment advisory programs in a series of presentations throughout the year beginning June 22 in New York. Participants also can opt to watch online.
Gordon counsels clients on hedge fund, funds-of-fund, private equity fund, real estate fund, venture funds, and compliance-related matters involving registered advisers and broker-dealers. She also advises clients on a broad range of securities and regulatory matters as well as a variety of financial instruments and transactions, including managed accounts, credit facilities, joint ventures, and derivative instruments. She works closely with strategic, institutional, and seed investors and also represents clients in investigations by the SEC and other regulators.
Wednesday, September 23, 2020
9 a.m. - 5 p.m. EDT
These materials have been prepared for informational purposes only and are not legal advice. This information is not intended to create, and receipt of it does not constitute, an attorney-client relationship. Internet subscribers and online readers should not act upon this information without seeking professional counsel.