Pepper partner Gregory J. Nowak hosted an Investment Management Update webinar for West LegalEdcenter. In this episode, Mr. Nowak is joined by Pepper attorney Cassandre L. Juste, and together they provide a review of the “summer blockbusters” affecting the investment management and brokerage industries including:
New form ADV effective October 1, 2017; the SEC is focusing in on compensation that is tied to solicitation of clients by your employees (among other issues)
New FINRA licensing line-up and procedures
The SEC’s focus on cryptocurrencies – The DAO Whitepaper
Recent enforcement cases, including one against a CCO.
This podcast is a recording of this session.