Chicago Compliance Officer Roundtable

Please join us for an engaging conversation with Louis Gracia, Associate Regional Director, U.S. Securities and Exchange Commission. The program will take place in Chicago and will be hosted by Sidley, ACA Group, and the Investment Adviser Association. We’re looking forward to discussing various current topics including Off Channel Communications, The Marketing Rule, Outsourcing, Cybersecurity, and SEC Exam Trends.

To encourage candid discourse, this program will be held in person only. Dial-in options will not be available. We look forward to reconnecting with colleagues for our signature program.

CLE credit is pending.

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

Speakers:

• Louis Gracia, Associate Regional Director (Examinations), SEC
• Joshua Broaded, Head of Global Regulatory Compliance, ACA Group
• Nick Batinich, partner, ACA Group
• Monique Botkin, Associate General Counsel, IAA
• Chuck Daly, Investment Funds partner, Sidley
• Ranah Esmaili, Securities Enforcement and Regulatory partner, Sidley
• Simon Saddleton, Investment Funds partner, Sidley