Katten will present "SEC Update: Regulatory and Enforcement Developments for Asset Managers" at 4:00 p.m. (ET) on Thursday, June 22. Financial Markets and Funds partners David Dickstein, Christian Hennion and Richard Marshall, and counsel Adam Bolter; Litigation partner Peter Wilson; and Securities Litigation partner Danette Edwards will present two panel discussions in a hybrid format, both in Katten's New York office and virtually via Zoom.
The first panel will explore recent SEC regulatory developments and key focus areas for asset managers, covering:
- New Form PF requirements
- Marketing rule open issues
- Say-on-Pay requirements
- FinCEN Beneficial Owner Reporting requirements
- Proposed private fund reforms
The second panel will provide an SEC enforcement update for asset managers, with speakers discussing:
- Trends regarding volume of cases, the whistleblower program and penalties
- Key cases involving insider trading, fees and expenses, the WhatsApp sweep, and greenwashing
- Inspection priorities for advertising, private funds, fiduciary duty and ESG
For more information, contact Mary Nardi.
