Hot Topics for Investment Advisers
Please join us for an engaging conversation with Ryan Hinson, Regulatory Counsel, U.S. Securities and Exchange Commission. The program will take place in Los Angeles 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, Greenwashing, and SEC Exam Trends, including considerations for firms' uses of artificial intelligence.
Additionally, we plan to provide a rule making and enforcement update, as well as to lead a discussion among industry members of FinCEN's AML Rule.
Due to space limitations, we regret that we cannot accommodate multiple representatives from each guest firm and would ask you to identify one representative from your firm to attend the event.
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.
SCHEDULE
Registration and Breakfast | 8:30 a.m.
Program | 9:00 a.m. – 12:00 p.m.
MODERATOR
- Chuck Daly, Investment Funds Partner, Sidley
SPEAKERS
- Ryan Hinson, Regulatory Counsel, U.S. Securities and Exchange Commission
- Victoria Anglin, Investment Funds Senior Managing Associate, Sidley
- Joshua Broaded, Partner and Global Head of Regulatory Compliance, ACA Group; formerly an examiner for the SEC
- Hardy Callcott, Securities Enforcement and Regulatory Partner, Sidley; formerly senior vice president and general counsel at Charles Schwab & Co. Inc.
- Sanjay Lamba, Associate General Counsel, Investment Adviser Association
QUESTIONS
We encourage you to prepare questions for the speakers. You may ask your questions live during the event or in advance by emailing laevents@sidley.com no later than November 1, and we will ask them anonymously during the program.
For more information or questions, please contact laevents@sidley.com.
The information provided in this program does not constitute legal advice. This program will not be recorded and is not for attribution.
