COVID-19 Disruption: What Registered Investment Advisers Need to Know

COVID-19 Disruption: What Registered Investment Advisers Need to Know

Speaking Engagement CLE

In the wake of the COVID-19 pandemic, the SEC has taken emergency steps to address disruption for registered advisers but will also be focusing on certain behaviors to ensure that investors are protected. During this webinar, WilmerHale attorneys Phillip Gillespie and Gretchen Passe Roin addressed both of these points, including some of the following topics:

  • Temporary Relief Provided by the SEC
  • Business Continuity Plans
  • Liquidity Risk Management
  • Valuation, Pricing Vendor Oversight and Fair Value Decision Making
  • Side-by-Side Management, Trade Allocation and Cross-Trades
  • Counterparty Credit Monitoring
  • Updating Risk Disclosures

View the Webinar Recording*

*CLE credit is not available for those who watch webinar recordings.

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