When: October 31st, 2012
Where: The Chrysler Building, Blank Rome, LLP, 405 Lexington Avenue,New York, NY 10174, 22nd Floor Boardroom
Chief Compliance Officer Roundtable Series:
9:00-9:30 a.m.
Networking and Continental Breakfast
9:30-11:00 a.m.
Program
- CFTC registration of CPOs and CTAs
- The JOBS Act and the SEC’s recent lifting of the ban on general solicitation and advertising for Private Funds
- Form PF
- SEC Exam Focus
- Regulatory Update:
- The news from Washington, D.C.
If you would like to attend or pose a specific question please send an email to roundtable@seccc.com and be sure to state which roundtable you will or wish to attend.
