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 events@workiva.com.

Date 
Wednesday, December 7,
1:00 p.m. to 2:00 p.m.
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Our Experts 

Arthy Kumar

Arthy Kumar
Senior Success Manager and Program Manager
Workiva

Chris Mancini

Chris Mancini
Senior Product Marketing Manager, Investments
Workiva