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Conferences and Speeches

IAA New York Compliance Workshop

Thursday, October 26, 2017

Morgan Lewis partner Jennifer L. Klass will speak at the New York Compliance workshop that will address important compliance-related topics for SEC-registered investment advisers.

SEC senior counsel Rachel Lavery & SEC securities compliance examiner Stefanie Sundel will discuss inspection priorities and issues for advisers. Attendees will participate in a hands-on workshop sessions on analyzing a “bad ad” and explore techniques and processes to help oversee third-party service providers. Attendees will also work through a checklist of the new Form ADV Part 1A amendments to identify where you need to focus to prepare for your next filing.

CLE credit: CLE accreditation is pending in CA, GA, IL, NY, PA, and TX. The workshops are approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit. Please see the event website for detailed CLE information for other states.