Boston Compliance Officer Roundtable Series

July 12, 2017 - 8:00 am
Investment Adviser Private Fund
The Lenox Hotel 61 Exeter Street Boston, MA 02116

Please join us on Wednesday, July 12 in Boston for the latest in a series of interactive investment adviser compliance roundtables. Our panel will focus on regulatory, compliance, and enforcement topics that may cause you angst. We are pleased to feature several key officials from the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE), including Daniel S. Kahl, OCIE Chief Counsel, and Kevin M. Kelcourse, OCIE Associate Regional Director (Examinations).

Roundtable Panelists:

  • Daniel S. Kahl, Chief Counsel, OCIE, SEC
  • Kevin M. Kelcourse, Associate Regional Director (Examinations), OCIE, SEC
  • Sanjay Lamba, Assistant General Counsel, Investment Adviser Association
  • Mark W. Lawler, Senior Principal Consultant, ACA Compliance Group
  • Elizabeth Shea Fries, Partner, Sidley Austin LLP
  • Kara J. Brown, Counsel, Sidley Austin LLP

Roundtable panel topics may include:

  • Update on OCIE’s exam program initiatives and current priorities
  • Current regulatory and compliance “hot spots” for investment advisers
  • SEC regulatory agenda: whats new, what's pending, and whats on the horizon

We encourage you to come prepared with questions for our OCIE speakers. Alternatively, you may submit your questions in advance by emailing Laurie Kleiman or Jeff Morton no later than Tuesday, July 11, 2017, and we will ask them anonymously during the program.

If you have any questions regarding this event, please email