The Philadelphia Compliance Roundtable

Date: 
September 11, 2018 - 8:30 am to 1:00 pm
Type: 
Roundtable
Division: 
Investment Adviser Broker-Dealer
Location: 
Morgan Lewis Office, 1701 Market St, Philadelphia, PA 19103

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.

Agenda

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

Discussion Topics

  • SEC Regulatory Update
  • Cybersecurity
  • Regulatory Hot Topics 
    • Standard of Care
    • Custody
    • Recent regulatory actions
    • Examination program revamp

Speakers

  • 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 dstafford@acacompliancegroup.com

Sponsors: 

Chatham Financial, Morgan Lewis, ACA Compliance Group