Chicago Compliance Officer Roundtable

Please join us for an engaging conversation with Louis Gracia, Associate Regional Director (Examinations) of the U.S. SEC. 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:

• 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, and virtual participation will not be available.

CLE credit is pending for this program.*

Moderator

• Simon Saddleton, Investment Funds Partner, Sidley

Speakers

• Nick Batinich, Partner, ACA Group
• Chuck Daly, Investment Funds Partner, Sidley
• Louis Gracia, Associate Regional Director (Examinations), SEC
• Sanjay Lamba, Associate General Counsel, IAA
• David Petron, Securities Enforcement and Regulatory Partner, Sidley

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* 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.