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SEC Expanded Risk Regulation: How to Assess Resource and Requirement Needs
The Financial Stability Oversight Committee is beginning to exert influence on investment advisors that looks and feels a lot like bank regulation. In the near future, disciplines like operational risk management, liquidity management, and resolution planning are expected to play a bigger part of investment advisory regulation.
Join us for a webinar as we dig into recent SEC actions and rule proposals. We'll explore:
- What risk management programs need the most attention
- How much detail, what format, and at what frequency portfolio holdings and ownership need to be disclosed
- What resolution plans look like at other institutions already participating in the exercise
- Additional resources required to meet both static and fluid documentation requirements
Save your spot—register today.
Questions? Email email@example.com.
Wednesday, December 7,
1:00 p.m. to 2:00 p.m.
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