The Philadelphia Compliance Roundtable is designed to assist investment adviser and broker-dealer compliance professionals in dealing with current tough regulatory challenges.
Please join us for the next roundtable on September 11, 2018, where industry-knowledgeable panelists will discuss topics relevant to regulatory requirements and industry best practices. The Roundtable will include a keynote address by Jeffrey Boujoukos, SEC Regional Director, a fireside interview of Askari Foy, ACA Compliance Group, regarding cybersecurity, and a panelist discussion covering a variety of interesting topics.
8:30am - 9:00am | Registration and Refreshments
9:00am - 10:00am | SEC Keynote Address
10:00am - 10:15am | Break
10:15am - 11:00am | Fireside interview
11:00am - 12:00pm | Panel Discussion
12:00pm – 1:00 pm | Lunch and Compliance Roundtable discussion
- SEC Regulatory Update
- Regulatory Hot Topics
- Standard of Care
- Recent regulatory actions
- Examination program revamp
- Jeffrey Boujoukos, Regional Director of the SEC’s Philadelphia office
- Askari Foy, Managing Director, ACA Compliance Group, Former Associate Director and Head of the National Technology Controls Program with the SEC’s Office of Compliance Inspections and Examinations
- Deirdre Patten, President, Patten Training
- Matthew Girandola, Consultant, ACA Compliance Group
- Marion Halliday, Chief Compliance Officer, Janney Montgomery Scott LLC
- Tim Levin, Partner, Morgan Lewis
Note that, if desired, discussion questions may be submitted anonymously prior to the meeting.
To register or ask questions, please contact Dee Stafford at firstname.lastname@example.org
Chatham Financial, Morgan Lewis, ACA Compliance Group