The Philadelphia Compliance Roundtable

September 11, 2018 - 8:30 am to 1:00 pm
Investment Adviser Broker-Dealer
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.


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


  • 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


Chatham Financial, Morgan Lewis, ACA Compliance Group