CLE – 2023 Private Funds Forum: Enforcement Trends, including off-channel communications, broker-dealer and FINRA considerations
As part of Seward & Kissel’s Ninth Annual Private Funds Forum, on November 30, 2023, panelists discuss enforcement trends including: off-channel communications; Rule 105; fees & expenses and best execution, trading and market trends.
*Please note that you may need to register to view the panel recording.
Duration: 54:32
CLE Credit(s): One New York CLE Credit in Professional Practice
Speakers:
- Russell Johnston, Partner, Seward & Kissel LLP
- Philip Moustakis, Partner, Seward & Kissel LLP
- Michael Watling, Partner, Seward & Kissel LLP
- Patricia Poglinco, Partner, Seward & Kissel LLP, (moderator)
CLE Credit
Attorneys are eligible to receive one New York CLE Credit in Professional Practice for listening to this CLE.
For CLE credit in New York, please complete the instructions on the webinar event page.