It is no secret that the SEC, through OCIE, has stepped up its efforts to examine investment advisers’ compliance policies and procedures. With this initiative coming on the heels of sweeping changes implemented by Dodd Frank, investment advisors are under increased pressure to make assure they are in compliance with the rules and regulations that govern their conduct under the securities laws. This on-demand webinar will review the policies and procedures that should be in place to maintain compliance with the requirements of the Investment Advisors Act; provide information both on how to best prepare for an OCIE inspection, and how to conduct yourself during an inspection; what happens after the inspection; and finally, how to respond if OCIE and/or enforcement contact you about OCIE’s findings.
Agenda
Faculty
Seth T. Taube
Baker Botts L.L.P.
- Partner at Baker Botts L.L.P.
- Concentrates in securities and commercial litigation, SEC defense, corporate governance and white collar criminal defense
- Has extensive experience in securities-related regulatory and internal investigations as well as securities and international arbitrations
- Firm wide chair of the Securities and Shareholder Litigation Practice Group and head of the Trial Section in the New York office of Baker Botts L.L.P.
- Has taught courses on mergers, acquisitions and corporate litigation as an adjunct professor of law at Seton Hall Law School
- Has spoken and written on many topics related to his areas of expertise
- Listed in The Best Lawyers in America; recognized as a New York Super Lawyer; named Client Service All-Star in BTI’s 2012 Client Service Survey
- J.D. degree, cum laude, Benjamin N. Cardozo School of Law; B.A. degree, magna cum laude, Queens College
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