November 19, 2015
This Compliance Workshop will address important topics for SEC-registered investment advisers, including: Regulatory Update, Compensation and Fee Issues, Risk Management, Technology Issues, and Advertising. Speakers will include IAA legal staff and attorneys from nationally recognized law firms. The workshop will include a networking luncheon where attendees can share ideas about other compliance issues. After lunch, a SEC staff member from the region’s Office of Compliance Inspections and Examinations will discuss current inspection priorities and issues for advisers.
More information about the event can be found here: https://goo.gl/pqNVsg
Pamela M. Krill
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