2021 Examination and Enforcement Priorities for Asset Managers
The SEC’s Division of Examination’s recently published priorities confirm an expanded focus on ESG in manager decision-making, increased antitrust enforcement and scrutiny, and the use of scientific analytics to target enforcement activity, among other priorities. Please join Ropes & Gray for a dynamic review of current exam and enforcement priorities, the challenges they pose and how registrants can best position themselves to respond to regulatory demands.
Our event will be hosted by asset management partners Paulita Pike and Adam Schlichtmann, who will also lead our discussion of ESG as an exam/enforcement priority.
Tech transactions partner Ed Black will discuss the implications of the priorities as they pertain to analytic science as a targeting tool, sourcing alternative data, robo-advisors and cybersecurity
Litigation & enforcement partner Samer Musallam will discuss expectations around increased antitrust enforcement and scrutiny in the areas of fintech M&A, digital assets and blockchain technology, and financial markets, as well as the implications for managers.
Litigation & enforcement partner Eva Carman will offer practical insight into what advisers need to know about the latest fiduciary duty hot topics, including the SEC’s current approach to fee and expenses issues, valuation, data breaches, plus insider/outsider trading.