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Insight Center: Podcasts

SEC Modernization in Plain English

Investment Management Roundtable Series

Speakers: Gregory J. Nowak and John P. Falco


Podcast Categories: Financial, Funds

Pepper partner Gregory J. Nowak hosted an Investment Management Update webinar for West LegalEdcenter.  

In October 2016, the SEC issued its final Investment Company Reporting Modernization rules with a 597-page release. Although the registered investment company industry is well acquainted with sweeping regulatory changes, these new rules pose unique reporting challenges for all registered funds and their service providers.

This month, Mr. Nowak is joined by John P. Falco, partner with Pepper Hamilton, and Jay Nusblatt, managing director at Donnelley Financial Solutions, for a discussion tailored for registered funds and mutual funds that are subject to the new reporting requirements. The panelists will discuss their joint white paper regarding the recent rules and practical tips and strategies for preparing to comply with the new requirements. This podcast is a recording of this session.

Download a copy of the PowerPoint slides.



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