Northern California Compliance Officer Roundtable

Please join us for an engaging conversation with Monique Winkler, Associate Regional Director for Examinations within the U.S. Securities and Exchange Commission's San Francisco Regional Office. The program will take place in Palo Alto and will be hosted by Sidley, ACA Group, and the Investment Adviser Association. We're looking forward to discussing various current topics including:

• Regulatory & Compliance
• Marketing Rule & Performance
• Technology & Innovation
• Investment Products & Market Trends

An overview of the Commission under the new administration will also be provided by Sidley, ACA, and IAA during the second half of our program.

We kindly ask that you RSVP at your earliest convenience, as space is limited.

Schedule

Registration and Breakfast |8:30 a.m. PT
Program | 9:00 a.m. – 12:00 p.m. PT

Moderator

•  Shane Goudey, Investment Funds Partner, Sidley

Speakers

• Monique Winkler, Associate Regional Director for Examinations within the U.S. Securities and Exchange Commission's San Francisco Regional Office
• Victoria Anglin, Investment Funds Counsel, Sidley
• Kenny Clowers, Co-Head of Regulatory Advisory Solutions, ACA Group
  Formerly an Examination Manager for the SEC
• Hardy Callcott, Securities Enforcement and Regulatory Partner, Sidley
• Sanjay Lamba, Associate General Counsel, Investment Adviser Association
  Formerly an attorney in the Office of Compliance Inspections and Examinations with the SEC

Questions

We encourage you to prepare questions for the speakers. You may ask your questions live during the event or in advance by emailing paevents@sidley.com no later than February 20, and we will ask them anonymously during the program.

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

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.