Investment Adviser Compliance Conference: SEC Enforcement Landscape: Lessons and Trends for Advisers
March 6, 2025 1:00 PM– 2:00 PM EST
Jan M. Folena
Marriott Marquis Washington, D.C.
901 Massachusetts Ave NW
Washington, District of Columbia
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The SEC Enforcement program continues to aggressively pursue advisers on all fronts. This panel will discuss lessons from recent enforcement actions and insight into agency priorities that adviser legal and compliance personnel can incorporate into their firms’ compliance programs.
Panelists:
• Jan Folena, partner, Stradley Ronon
• Lori Martin, partner, WilmerHale
• Dabney O’Riordan, partner, Quinn Emanuel Urquhart & Sullivan
• James (Jim) Lundy, partner, Foley & Lardner (Moderator)
