This episode features Cassandra W. Borchers, a partner in the Investment Management practice group. She is joined by Todd Cipperman, founding principal of Cipperman Compliance Services. They will explore the 10 most significant trends that define the current investment management regulatory landscape.

Their topics will include:

Their topics include:

Investment advisers’ fiduciary responsibilities and the status of the DOL’s Fiduciary Rule and the SEC’s proposed Regulation Best Interest; Enforcement against senior executives and other individuals; Pay-to-play; The whistleblower program; Cybersecurity and privacy concerns; Industry changes and compliance trends