SEC Update: Exam Priorities and New Reporting and Compliance Obligations for Registered Investment Advisors
Chris Mulligan, investment advisor/private fund senior adviser and co-coordinator of the Private Funds Specialized Working Group in the SEC’s Division of Examinations. Chris will discuss private fund adviser examination priorities and the recent amendments to Form PF.
The recent amendments have materially enhanced the reporting obligations for registered investment advisers who are required to report on Form PF.
Chris Mulligan, Investment Adviser/Private Fund Senior Advisor and Co-coordinator of the Private Funds Specialized Working Group in the SEC's Division of Examinations
Start Date:
- July 12, 2023
Start Time:
- 12:00 PM
End Time:
- 1:00 PM
Areas Of Professional Practice Credit(s):
- 1.0
Total Credit(s):
- 1.0
Region:
- Virtual Participation
- Christopher Mulligan, Speaker, U.S. Securities and Exchange Commission
Format:
- Webinar
Product Code:
- 0NB21
Section Member Price:
$40.00
NYSBA Member Price:
$50.00
Join (or renew) for special member pricing
Non-Member Price:
$100.00
Sponsoring Committee Group
- Committee on Continuing Legal Education
- Business Law Section
- Private Investment Funds Committee
- Securities Regulation Committee
