2026 New York Compliance Officer Roundtable

Please join us for an engaging conversation with Maurya Keating, Associate Director, and Emanuel Asmar, Exam Manager/Attorney-Adviser, at the U.S. Securities and Exchange Commission. The program will take place in New York and will be hosted by Sidley, ACA Group, and the Investment Adviser Association.

We're looking forward to discussing various current topics including:

• SEC Exam and Enforcement Trends
• Investment Products and Market Trends
• Cybersecurity and Regulation S-P
• Updates on Marketing Rule Examination Focus
• Technology and Innovation

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 this program.*

Moderator

• Chuck Daly, Investment Funds Partner, Sidley

Speakers

• Maurya Keating, Associate Director, U.S. Securities and Exchange Commission
• Emanuel Asmar, Exam Manager/Attorney-Adviser, U.S. Securities and Exchange Commission
• Monique Botkin, Associate General Counsel, Investment Adviser Association
  Formerly an attorney in the Division of Investment Management with the SEC
• Carlo di Florio, President, ACA Group
  Formerly held positions as Chief Risk & Strategy Officer with FINRA and Director, OCIE with the SEC
• Marissa Henry, Investment Funds Senior Managing Associate, Sidley
• Jessica Huelbig, Partner, Head of Private Funds, ACA Group
• Lara Mehraban, Securities Enforcement and Regulatory Partner, Sidley
  Formerly the Acting Director of the New York Regional Office and Associate Regional Director of the New York Office’s Enforcement Division at the SEC
• Aaron Pinnick, Senior Manager, Thought Leadership, ACA Group

* CLE credit is pending for this program. Sidley Austin LLP is an Accredited CLE Provider in California, Illinois, and New York, as well as a Texas State Bar Accredited Sponsor. We can issue reciprocal credit for attorneys who are licensed in Connecticut and New Jersey, and we can apply for credit in Florida and Virginia, upon request. MCLE credit rules and restrictions vary from state to state. If attendees are interested in obtaining credit for this program in another state, Sidley’s CLE professionals will be happy to provide program materials that may be used to submit a request for credit.