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Compliance Roundtable for Municipal Underwriters and Municipal Advisors
Compliance Roundtable for Municipal Underwriters and Municipal Advisors
 

June 23, 2015

Division
Broker Dealer

Speaker: Tammy Tam, Principal Consultant, ACA Compliance Group

Speaker: James Brigagliano, Partner, Sidley Austin LLP

Speaker: Nancy Johnson Jones, Chief Compliance Officer, BOSC

Speaker: Dan Campbell, Managing Director, ACA Compliance Group

Speaker: Madeleine Dowling, Partner, Sidley Austin LLP

Speaker: Leo Karwejna, Chief Compliance Officer, PFM Asset Management

Webcast Discussion Includes:

  • For Underwriters:
    • Underwriter obligations
    • The MCDC initiative
    • The hunt for missing disclosures
  • For Municipal Advisors:
    • Supervision
    • Licensing and qualification
    • Pay to play
    • Examination scrutiny