Market Matters: Compliance Trends 5.30.2018
This episode features Cassandra W. Borchers, a partner in the Investment Management practice group. She is joined by Todd Cipperman, founding principal of Cipperman Compliance Services. They will explore the 10 most significant trends that define the current investment management regulatory landscape.\nTheir topics will include:\nTheir topics include:\n\nInvestment advisers\u2019 fiduciary responsibilities and the status of the DOL\u2019s Fiduciary Rule and the SEC\u2019s proposed Regulation Best Interest; Enforcement against senior executives and other individuals; Pay-to-play; The whistleblower program; Cybersecurity and privacy concerns; Industry changes and compliance trends