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Purchase the entire 2016 webcast series (excluding “Special Webcasts”) at a discounted price for $1,500.

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The Compliance Year in Review

December 1, 2016

11:00 am EST

Division
Investment Adviser

Speaker: Jessica Huelbig, Senior Principal Consultant, ACA Compliance Group
Speaker: Sara Beier, Principal Consultant, ACA Compliance Group
Speaker: Jeff Ziesman, Partner, Bryan Cave LLP
Speaker: Sofya Abrams, Counsel, Sidley Austin LLP


Webcast Discussion Includes:

  • Noteworthy enforcement actions
  • Examination trends
  • Regulatory focus areas and risk alerts (cybersecurity. whistleblowing, etc.)
  • Proposed and final rulemaking (AML, ADV, transition planning, etc.)


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