NAPFA Webinar - How to Avoid Compliance Failures – A Review of the SEC’s 2018 Examination Priorities

When:  Apr 25, 2018 from 3:30 PM to 5:30 PM
Wednesday, April 25, 2018 at 3:30 p.m. ET (2:30 p.m. CT, 12:30 p.m. PT)
Presented by: Michael P. Shaw, Partner, Niles, Barton & Wilmer LLP
Earn: 1 NAPFA in K - Marketing and Practice Management
Members: Free / Non-Members: $39.00
Michael Shaw will discuss the Securities and Exchange Commission’s announced examination priorities for 2018, as well as the impact on registered investment advisers. Mr. Shaw will also highlight hot topics such as social media and cybersecurity, and identify what firms can do to prepare for an SEC exam.
Michael Shaw is a Partner in the Corporate Department of Niles, Barton & Wilmer, LLP. He has over 25 years of experience as an in-house corporate and regulatory attorney in the securities and insurance industries. He currently serves the legal, compliance and enforcement defense needs of registered investment advisers, broker-dealers, hedge funds, private equity firms, and insurance companies.
Mr. Shaw advises start-up to middle-market firms on state/federal registration, industry best practices on risk avoidance and compliance, responding to regulatory inquiries, preparing for regulatory examinations, and defending firms in arbitration and enforcement proceedings.
He is an active member of the CFA Society of Baltimore, Society of Corporate Counsel and Ethics, SIFMA Compliance & Legal Society, and the NAPFA Baltimore Study Group, as well as the Maryland State Bar Association and the District of Columbia Bar Association.