What's Next for Investment Advisers? Update on SEC Regulation, Litigation, Exams, and Enforcement

As investment advisers round out an eventful 2024 and prepare for the U.S. presidential election, this panel will discuss recent regulatory shifts and predictions for what life as an investment adviser might look like in 2025. This program will cover three main topics: the SEC regulatory landscape for investment advisers, the impact of landmark activity in the Fifth Circuit and Supreme Court, and recent SEC examination and enforcement trends. Whether you work in-house in legal/compliance at an advisory firm or at a law firm serving adviser clients, government agency, or trade association, this webinar will provide insight into recent changes and what's to come. Hear from panelists with significant government agency experience, including leadership roles at the U.S. Securities and Exchange Commission in Washington, DC, as well as in-house expertise at a large financial services firm.

Learning Objectives:

1. Discuss the SEC's rulemaking agenda and assess the impact of recent court decisions

2. Provide an overview of SEC enforcement and examination trends.

3. Analyze recent Supreme Court and Fifth Circuit decisions on investment adviser regulation going forward

4. Identify key takeaways for Investment Advisers for 2025