Regulatory Developments for Asset Managers and Broker-Dealers

Hosted by Katten

Location, or Event type: Katten Webinar

Regulatory Developments for Asset Managers and Broker-Dealers

Webinar, Hosted By Katten


Wednesday, July 10, 2024 - 11:00 AM - Wednesday, July 10, 2024 - 12:00 PM


Join Katten's Financial Markets and Funds attorneys for a discussion covering recent developments and key focus areas for asset managers and broker-dealers.

Topics will include:

  • Proposed Anti-Money Laundering Rules for Investment Advisers
  • New Cybersecurity Rules for Investment Advisers and Broker-Dealers
  • FINRA’s Post-COVID Classification of Remote Workplaces and Internal Inspection Requirements
  • Court Challenge Updates

QUESTIONS

Please contact Rachel Hernandez.

CLE

Katten is an accredited provider of MCLE in Illinois and California. Katten has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. This program is intended for an attorney audience. This program is pending approval in these jurisdictions for up to 1 CLE credit (IL/CA General; NY Professional Practice), subject to review of final presentation materials and attendance documentation. This program is suitable for transitional and non-transitional attorneys. If any attendees are licensed in Texas, Katten will apply for CLE credit with the State Bar of Texas, post-program, under the firm’s accredited sponsor status. We ask that verification forms be returned to Katten within 7 business days of the program date. Please note some states do not allow us to issue CLE credits if more than 60 days have passed since the original program date. Our firm is not accredited in any other jurisdictions or professional accreditations; however, we will make agendas, speaker biographies and presentation materials (contingent upon speaker consent) available to those attorneys who wish to file an individual CLE application in their licensed jurisdiction. Please check your state’s rules as to whether reciprocal credit is available. Kindly note that Katten makes no representations whether other states will accredit this program.

 

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