You are invited to attend a session in a series of interactive investment adviser compliance roundtables. This unique series is designed to bring compliance officers and others interested in adviser compliance issues in the Los Angeles metropolitan area together periodically to share information and discuss hot topics.
Compliance in the New Regulatory Environment
A panel of prominent market participants, including an SEC regulator, will discuss the impact of recent regulatory developments on investment adviser compliance risks and challenges.
Our goal is to make this program as relevant and helpful to you as we possibly can. Please help us to develop the most valuable program by letting us know the topics you would like to see addressed (including any not listed below) when you reply with your RSVP.
Topics to be addressed may include:
- Custody and safekeeping of client assets
- Portfolio and investment mandate compliance
- Marketing, advertising and investor communications
- Third-party solicitation and pay-to-play arrangements
- Current SEC examination observations
- Trading Issues
Please RSVP to LAEvents@sidley.com and indicate any specific topics you wish to discuss.
3:00 - 3:30 p.m. Registration
3:30 - 5:00 p.m. Panel
5:00 - 5:30 p.m. Interactive Roundtable Discussion
5:30 - 7:00 p.m. Networking Reception