The Philadelphia Compliance Roundtable – Webinar

Wednesday, April 13, 2022
11:00 AM - 12:00 PM ET
10:00 AM - 11:00 AM CT
08:00 AM - 09:00 AM PT

Associate Director of the Division of Examinations for the Philadelphia Regional Office, Acting Regional Director for the Philadelphia Regional Office, and Acting Deputy Director for the National Examination Program, Joy G. Thompson—formerly Acting Associate Director for the Private Funds Unit—will join us to discuss the Securities and Exchange Commission’s examination and enforcement priorities.

Following keynote remarks, a panel will discuss investment adviser and broker-dealer hot topics such as implementation of the new marketing rule, SEC Division of Examinations’ FY 2022 Examination Priorities, recently proposed rules, and enforcement activity. The meeting will conclude with roundtable breakout discussions with your peers.

CLE credit: CLE credit in CA, IL, MN, NY, OH, OR, PA, TX, and VA is currently pending approval. Credit in CT, FL, and NJ is pending approval (via reciprocity).