Chicago Compliance Officer Roundtable

We invite you to an engaging conversation with Louis Gracia, Associate Regional Director (Examinations) of the U.S. SEC. This event will be held in Chicago and is proudly hosted by Sidley, the ACA Group, and the Investment Adviser Association. We look forward to discussing various hot topics including:

• AI Trends
  
• MNPI
  
• Cybersecurity
  
• Crypto
  
• Updates on Marketing Rule Examination Focus
• SEC Exam 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.

To encourage candid discourse, this program will be held in person only, and virtual participation will not be available.

CLE credit is pending.

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

MODERATOR

• Simon Saddleton, Investment Funds Partner, Sidley

SPEAKERS

• Nick Batinich, Partner, ACA Group
• Joshua Broaded, Co-Head of Global Regulatory Advisory, ACA Group
• Chuck Daly, Investment Funds Partner, Sidley
• Ranah Esmaili, Securities Enforcement and Regulatory Partner, Sidley
• Louis Gracia, Associate Regional Director (Examinations), SEC
• Sanjay Lamba, Associate General Counsel, IAA
• Tracy Soehle, Associate General Counsel, IAA