What Does Dodd-Frank Mean For Investment Advisers: Best Practices and Tips for Avoiding Potential Pitfalls
January 28, 2011
Some of the topics we will cover include:
- What you need to know to comply with Dodd-Frank
- Navigating the Form ADV changes
- Hot topics and recent trends in SEC exams and enforcement
Presenters: Terry Nelson and Lisa Tharpe, Foley & Lardner LLP
Lunch will be served.
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