Return to Listing
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
Subscribe today to receive firm newsletters and blogs, client updates, seminar announcements, and more according to your preferences and areas of interest.
Disclaimer and Legal Notices
Copyright © 2019 Godfrey & Kahn, S.C.
Attorneys at Law - All rights reserved.