Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.

SEC to host conference on emerging trends in asset management

On Behalf of | May 5, 2023 | Financial News

The Securities and Exchange Commission has announced that its Division of Investment Management will hold a conference next month regarding emerging trends in asset management.

The inaugural conference, scheduled for May 19, will be held remotely and will be open to the public via a live webcast. It will bring together asset management industry participants and academics, the SEC said.

Among the topics to be discussed are:

–Asset managers, corporate governance, and civic democracy.

–Private funds, investor protection, and industry concentration.

–Investment complexity, international effects, and outsourced services.

–Retail investors, fund trends, and investment innovation.

The SEC provided a link including the full agenda and the list of speakers:

SEC Chair Gary Gensler will deliver the keynote speech prior to the first session of the day.

Members of the public can view the live webcast from 10 a.m. to 5 p.m. ET at It will then be archived for later viewing on the web page of the Division of Investment Management. Registration for the event will be open until May 17.

The Division of Investment Management is responsible for administering the Investment Company Act of 1940 and Investment Advisers Act of 1940, including developing regulatory policy for investment companies and investment advisers.

The attorneys at Lewitas Hyman include former senior attorneys at the SEC whose legal experience and industry knowledge make them uniquely qualified to provide counsel on securities regulatory, compliance and enforcement matters. Our clients include broker-dealers, RIAs, banks, investment companies and hedge funds, along with registered representatives and other individuals participating in the securities industry. If your firm is facing an investigation from a regulatory agency, please contact Lewitas Hyman at (888) 655-6002 or through our online contact form.