New York Compliance Officer Roundtable

Hot Topics for Investment Advisers

Please join us for an engaging conversation with U.S. Securities and Exchange Commission (SEC) officials in New York, hosted by Sidley, ACA Group, and Investment Adviser Association. Together, we will discuss the SEC’s exam priorities and compliance challenges, including the new marketing rule, electronic communications, and developments in environmental, social, and corporate governance.

Highlights of the presentation will explore the following:

• General EXAMS process, including engagement during volatile markets
• Marketing Rule implementation, including the approach for EXAMS and the recent FAQ
• ESG, including focus areas for EXAMS and advisers’ disclosures and practices
• E-Comms, including expectations for policies and documentation
• Conflicts identification with a focus on the EXAMS 2023 priorities

SPEAKERS

• Jennifer Duggins, Co-Head, Private Funds Unit, Division of Examinations, U.S. Securities and Exchange Commission
• Christopher Mulligan, Investment Adviser/Private Funds Senior Advisor, Division of Examinations, U.S. Securities and Exchange Commission
• Carlo di Florio, Global Advisory Leader, ACA Group
  Formerly held positions as Chief Risk & Strategy Officer with FINRA and Director, OCIE with the SEC
  
• Dan Mistler, Partner, Head of ESG Advisory and Analytics, ACA Group
• Monique Botkin, Associate General Counsel, Investment Adviser Association
  Formerly an attorney in the Division of Investment Management with the SEC
• Barry Rashkover, Securities Enforcement and Regulatory Partner, Sidley
  Formerly co-head of Enforcement for the SEC’s Northeast Regional Office
• Chuck Daly, Investment Funds Counsel, Sidley

SCHEDULE
Registration and Breakfast
8:30 a.m.
Program
9:00 a.m. – 12:00 p.m.

QUESTIONS

We encourage you to prepare questions for the speakers. You may ask your questions live during the event or in advance by emailing nyevents@sidley.com no later than June 20, and we will ask them anonymously during the program.

CLE credit is pending.

For more information or questions, please contact nyevents@sidley.com.

The information provided in this program does not constitute legal advice. This program will not be recorded and is not for attribution.