| Thursday, October 10, 2024 |
| 11:00 AM - 01:30 PM Eastern Daylight Time |
Please join us for the Philadelphia Compliance Roundtable featuring keynote speaker Nicholas P. Grippo, Regional Director of the US Securities and Exchange Commission’s Philadelphia Regional Office. Nick will discuss SEC enforcement and examination priorities, including a recent off-channel communications case and related observations.
Following keynote remarks, panelists—including Matthew Guthier, Branch Chief of the SEC’s Technology Controls Program, and participants from Morgan Lewis, SEI, and Yuter Compliance Consulting—will discuss the state of the regulatory environment and practical guidance on hot topics such as:
After the panels, we will break into a roundtable format to facilitate discussions with your compliance peers.
CLE credit: CLE credit in CA, IL, MN, NY, OH, OR, PA, TX, VA, and WA is currently pending approval. Credit in CT, FL, and NJ is pending approval (via reciprocity).