Chicago Compliance Officer Roundtable

Please join us for an engaging conversation with Louis Gracia, the U.S. Securities and Exchange Commission's Associate Regional Director in Chicago. Together, we'll discuss the SEC’s exam priorities and compliance challenges, including the new marketing rule, electronic communications, and developments on the cyber frontier.

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
• Nick Batinich, Partner, ACA Group
• Steve Farmer, Chief Compliance Officer, Confluence Investment Management LLC
• Victoria Anglin, Investment Funds Senior Managing Associate, Sidley
• Chuck Daly, Investment Funds Counsel, Sidley
• Ranah Esmaili, Securities Enforcement and Regulatory Partner, Sidley
• Simon Saddleton, Investment Funds Partner, Sidley