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.