ACA Chief Compliance Officer Regional Roundtables
ACA hosts free compliance events across the country for chief compliance officers from broker-dealers, investment advisers, hedge funds, private equity funds, and investment companies, among others. These regional events include discussions on current SEC focus areas.
For information on upcoming roundtables please email Katie Jans at kjans@acacompliancegroup.com
Broker-Dealer Division:
Title: Philadelphia Compliance Roundtable
Time: 8:30 a.m. - 1:00 p.m.
Date: November 15, 2011
Co-sponsored by: ACA Compliance Group, Morgan Lewis & Bockius, and Arthur Laby, Rutgers-Camden School of Law
Location: Offices of Morgan, Lewis & Bockius | 1701 Market Street | Philadelphia, PA 19103-2921
This roundtable is designed to assist Chief Compliance Officers of investment advisers, broker-dealers and hedge funds in dealing with current regulatory hot topics:
- Regulatory Examinations
- Social Media
- Large Trader Rule
- Solicitation Issues
The meeting will conclude with lunch and Roundtable discussion.
If you have any questions, please contact Dee Stafford at (561) 988-3310 ext. 105