SEC Faculty: Adam S. Aderton

Aderton 150Adam S. Aderton is Co-Chief of the SEC Enforcement Division’s Asset Management Unit. Adam supervises teams of lawyers and other professionals who investigate potential violations of the federal securities laws by firms and individuals in the asset management industry, including registered investment advisers to retail investors, registered investment companies, and private funds. Adam has conducted or supervised investigations involving conflicts of interest, misappropriation, trading practices, valuation, misrepresentations and omissions, and failures to adopt and/or implement compliance policies and procedures. He received the Enforcement Division’s 2012 Ellen B. Ross Award which recognizes attorneys for exemplary commitment and performance in promoting the fair and effective enforcement of the federal securities laws.

Before joining the SEC, Adam served as a law clerk to Judge J. Frederick Motz of the U.S. District Court for the District of Maryland and worked in the securities litigation and enforcement practice at Wilmer Cutler Pickering Hale and Dorr LLP. Adam received his B.A. from Truman State University and his J.D. from the University of Virginia School of Law.

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Details

When: Wednesday, Oct. 23, 2019
7:00 am - 8:00 am: Breakfast & Registration
8:00 am - 8:10 am: Welcome Remarks and Introductions
8:10 am - 8:40 am: Keynote by SEC Chairman Jay Clayton
8:40 am - 5:00 pm Panel Discussions (followed by cocktail party)
Where: Mayflower Hotel
1127 Connecticut Ave, NW
Washington, D.C. 20036
CLE Credit: 6.0 hours (approved in PA)

CLE Information and Forms

SEF2014 CLE -sm6.0 hours CLE credit approved in PA. Forms available here.

Materials

Links to materials available here.

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