• Regulators Discuss the "Hot Topics" for 2007 at Fall New York Compliance Seminar
  • November 27, 2006
  • Law Firm: Sutherland Asbill & Brennan LLP - Washington Office
  • On November 13, 2006, the Securities Industry and Financial Markets Association Compliance & Legal Division hosted its Fall Compliance Seminar in New York City. During the course of the day, and across a variety of panel sessions, regulators from the SEC, SROs and the states repeatedly touched upon several issues that may form the central areas of inquiry in 2007. These "hot topics" include 1) hedge funds; 2) retirement accounts and elderly investors; and 3) the relationship between fee-based and investment advisory accounts.