Morgan Lewis

Conferences and Speeches

IAA New York Compliance Workshop

Thursday, October 26, 2017
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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.

Location

Yale Club of New York City
50 Vanderbilt Ave
New York, NY 10017

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