Available On-Demand - Publication Date: 12/06/2023
90 minutes
Overview (Program Summary)
For registered investment advisors, the US Securities Exchange Commission's (SEC) decision to scrap and re-write its 40-year-old advertising rules presents both a blessing and a curse to in-house counsel. In this session, panelists will look at how the rules have changed, as well as what risks and potential benefits arise from these changes. Expect to gain some real-world best practices that can help your legal department create a robust and efficient legal and compliance program.
This on-demand program is not eligible for CLE/CPD credit.
Interest Area(s):
Compliance and Ethics