Join us on September 29th for our upcoming webinar: How can asset managers use pandemic disruption and regulatory shifts to transform compliance? in partnership with Workiva.
Discussion points include:
- How have asset managers adapted supervisory policies and procedures to ensure compliance with SEC rules and best practices with staff working remotely?
- How can asset managers take advantage of a virtual workforce to overhaul or improve compliance processes?
- How much use did the industry make of SEC relief issued this spring in response to the pandemic, and could that form part of future rulemaking?
- What compliance weaknesses did the pandemic uncover that regulators, and the industry, need to solve? Where have opportunities emerged?
- What regulatory shifts have been accelerated by the pandemic that fund firms need to prepare for? How can the industry prepare for these changes?
- What lessons might managers take away from valuation issues during the market turbulence seen during the earlier days of the outbreak?
Peter Rawlings, Compliance Editor, Fund Intelligence
Arthy Kumar, Director of product marketing – financial services, Workiva
Mark Anderson, General Counsel and Chief Compliance Officer, Lazard Asset Management
John Skidmore, Chief Compliance Officer, Parnassus Investments
Brian Goldberg, General counsel and Chief Compliance Officer, Polen Capital
Julie Riewe, Partner, Debevoise & Plimptonn