Private Placements: The Latest Regulatory Developments and Compliance Considerations

Accreditation Wreath Icon AL
SKU: SEC051
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

This CLE program will explore the latest private placement regulatory advancements, with a particular focus on regulatory notice 23-XX. Gain valuable insights into compliance responsibilities and best practices concerning Reg BI, sales materials, due diligence, conflicts of interest, and other pertinent topics.

This session will cover the following areas:

  • In-depth analysis of recent regulatory developments, compliance obligations, and effective practices pertaining to private placements. Engage in discussions surrounding Reg BI, communications, due diligence, and conflicts of interest.
  • Examination of significant regulatory notices, including 10-22, 20-21, and 21-26, providing attendees with comprehensive information and actionable takeaways
  • Preview and discussion of the forthcoming 2023 Notice, scheduled for publication prior to the conference, offering attendees an opportunity to stay ahead of the curve and gain valuable insights into the evolving regulatory landscape.
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