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Listen "Summer Blockbusters"
Episode Synopsis
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 âsummer blockbustersâ 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 SECâs focus on cryptocurrencies â The DAO Whitepaper
⢠Recent enforcement cases, including one against a CCO.
This podcast is a recording of this session. Hosted by Simplecast, an AdsWizz company. See pcm.adswizz.com for information about our collection and use of personal data for advertising.
⢠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 SECâs focus on cryptocurrencies â The DAO Whitepaper
⢠Recent enforcement cases, including one against a CCO.
This podcast is a recording of this session. Hosted by Simplecast, an AdsWizz company. See pcm.adswizz.com for information about our collection and use of personal data for advertising.
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