Private Placements: The Latest Regulatory Developments and Compliance Considerations


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About This Course

Join panelists as they perform a deep dive into private placement regulatory developments including regulatory notice 23-XX as well as compliance obligations and best practices related to Reg BI, sales materials, due diligence, conflicts of interest and more.

This session will discuss:

  • Review regulatory developments, compliance obligations and effective compliance practices related to private placements, including discussion about Reg BI, Communications, Due Diligence and Conflicts of Interest
  • Reg Notices 10-22, 20-21 and 21-26
  • Discuss 2023 Notice (to be published prior to conference)

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