What’s on the minds of two of the industry’s top regulatory officials? Dalia Blass, the director of the SEC’s Division of Investment Management, has met with numerous fund boards as part of her board outreach initiative. Listeneres learned what insights she’s gained from those meetings and what is on her agenda.
Peter Driscoll heads the SEC’s Office of Compliance Inspections and Examinations, whose 1,000 staff members implement the SEC’s national examination program. He was asked about OCIE’s 2019 examination priorities, its risk-based examination initiatives focused on registered investment companies, and how it interacts with fund boards.
This webinar was closed to the media.
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