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Discussing the Results of the 2014 Investment Management Compliance Testing Survey
Discussing the Results of the 2014 Investment Management Compliance Testing Survey
 

June 11, 2014

*Please Note: The C3 Coupon code does not apply to this event*

Division
Investment Adviser

Speaker: Lynne M. Carreiro, Managing Director, ACA Compliance Group
Speaker: Laura L. Grossman, Associate General Counsel, Investment Adviser Association
Speaker: Amy Yuter, Vice President and Senior Compliance Manager, Old Mutual Asset Management


Webcast Discussion Includes Survey Results For:

  • Cybersecurity
  • Custody/Identity Theft/Red Flags
  • Valuation
  • Proxy Voting Policies and Procedure
  • International Regulatory Compliance (including the impact of AIFMD)