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Current Topics in Investment Company and Investment Adviser Regulation
December 8, 2017 @ 12:30 pm - 1:30 pm
Montgomery McCracken attorney Terrance James Reilly served as a course planner and co-moderator of a CLE presentation at the Philadelphia Bar Association on Friday, December 8, 2017. The Investment Companies Committee welcomed Mark J. Dowdell, Assistant Regional Director, U.S. Securities and Exchange Commission, who addressed current topics of interest to practitioners in the investment company and investment advisory fields.
Mr. Dowdell offered guidance regarding SEC examination priorities and the focus of Office of Compliance Inspections and Examinations (OCIE) inquiries.