Andrew Feldman and Mark Strefling teach online CLE on Compliance Priorities for Investment Advisors

RLG partners Andy Feldman and Mark Strefling taught a CLE class on “Investment Adviser Regulatory Landscape: Current and Emerging Compliance Priorities” for ProLawCLE.  They noted that with a new SEC chair appointed by the Biden administration, attorneys and compliance professionals have an increased focus on compliance policies and procedures adopted under the Investment Advisers Act of 1940.  Mark & Andy discussed the following:

  1. Modernizing amendments to the “advertising rule”;
  2. Cybersecurity risks and ESG initiatives;
  3. SEC examination priorities; and
  4. Strategies to evaluate regulatory risks and develop effective comprehensive compliance policies and procedures.