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