When: October 20, 2016
Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom | Phone: 212.885.5000
Thomas Westle and Janaya Moscony, along with industry experts, will discuss topics of interest to chief compliance officers.
Topics include:
- SEC updates including: revisions to form ADV, business continuity rule, liquidity rule for funds, and the DOL fiduciary rule
- What CCO’s need to know about cybersecurity and indemnification agreements
- Recent SEC exams
- Recent enforcement cases
Schedule:
9:00-9:30 a.m. – Networking and Continental Breakfast
9:30-11:00 a.m. – Program
Click here to register
Space is limited. Due to the overwhelming interest in these events, we are inviting only chief compliance officers and their staff.
