SEC Enforcement Trends: What Financial Services Regulation Lawyers Need to Know
schedule
1h 21m
signal_cellular_alt
Beginner
category
Investment Management
verified
20 credits available
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About This Course
This on-demand CLE program offers valuable coverage of sec enforcement trends: what financial services regulation lawyers need to know.
Participants will gain a deep understanding of the fundamental concepts, current best practices, and emerging trends in this area. The program addresses real-world challenges practitioners face and provides concrete strategies for handling common situations effectively.
Specifically designed for investment management professionals, this course covers both foundational principles and advanced applications. Through clear explanations and practical examples, you will develop the skills needed to confidently navigate complex issues and deliver superior results for your clients or organization.
Key topics include regulatory requirements, compliance considerations, strategic decision-making, and risk management. Whether you are new to this area or looking to update your knowledge, this program provides the insights and tools necessary for success in today's evolving professional landscape.
Participants will gain a deep understanding of the fundamental concepts, current best practices, and emerging trends in this area. The program addresses real-world challenges practitioners face and provides concrete strategies for handling common situations effectively.
Specifically designed for investment management professionals, this course covers both foundational principles and advanced applications. Through clear explanations and practical examples, you will develop the skills needed to confidently navigate complex issues and deliver superior results for your clients or organization.
Key topics include regulatory requirements, compliance considerations, strategic decision-making, and risk management. Whether you are new to this area or looking to update your knowledge, this program provides the insights and tools necessary for success in today's evolving professional landscape.
Presented By
DA
David A. Chen open_in_new
Of Counsel • Latham & Watkins LLP
Mr. Chen specializes in intellectual property litigation and licensing, with particular expertise in patent disputes.
ER
Emily R. Davis open_in_new
Senior Associate • Gibson, Dunn & Crutcher LLP
Ms. Davis focuses on environmental law and regulatory compliance, advising clients on climate-related disclosures.
Credits & Accreditations
| Jurisdiction | Credit Type | Credits |
|---|---|---|
| Alaska | General | 1.0 |
| California | General | 3.0 |
| District of Columbia | General | 1.0 |
| Georgia | Diversity | 1.0 |
| Guam | General | 3.0 |
| Illinois | General | 1.0 |
| Massachusetts | General | 2.0 |
| Montana | Diversity | 1.5 |
| Nebraska | Ethics | 1.5 |
| New Hampshire | General | 1.0 |
| New Jersey | General | 1.0 |
| New Mexico | General | 1.0 |
| New York | General | 1.0 |
| Oklahoma | General | 2.0 |
| Puerto Rico | Diversity | 3.5 |
| South Dakota | Ethics | 3.0 |
| Tennessee | Diversity | 1.5 |
| U.S. Virgin Islands | Diversity | 3.0 |
| Washington | General | 3.5 |
| Wisconsin | General | 1.0 |