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.

 

Photo by Roman Kraft on Unsplash