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Mark Strefling teaches online CLE on Compliance Priorities for Investment Advisors

by | Aug 4, 2021

RLG partners Andy Feldman and Mark Strefling taught a CLE class on “Investment Adviser Regulatory Landscape: Current and Emerging Compliance Priorities” for ProLawCLE. They noted that with a new SEC chair appointed by the Biden administration, attorneys and compliance professionals have an increased focus on compliance policies and procedures adopted under the Investment Advisers Act of 1940. Mark & Andy discussed the following:

  1. Modernizing amendments to the “advertising rule”;
  2. Cybersecurity risks and ESG initiatives;
  3. SEC examination priorities; and
  4. Strategies to evaluate regulatory risks and develop effective comprehensive compliance policies and procedures.

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