The Philadelphia Compliance Roundtable

Please join us for the next roundtable on September 12. Industry-knowledgeable panelists will discuss topics relevant to regulatory requirements and industry best practices. The roundtable will include a keynote address by Mark Dowdell, Assistant Regional Director, US Securities and Exchange Commission and a panel discussion covering a variety of topics relevant to you.

This roundtable will cover:

• General Regulatory Update (Examination and Enforcement)
• Rules, Cases, and Risk Alerts
• Email Review
• AML Suspicious Activity Reports
• Enforcement Cases
• Regulation Best Interest, Form CRS, and Adviser Interpretations
• New Products: Trends in the Marketplace

Presenters:

• John O’Brien
• Christine Lombardo
• Brian Baltz

For more information on this event, please contact Sharon James at +1.212.309.7181.