The Philadelphia Compliance Roundtable – Fall 2022

Thursday, October 6, 2022
10:00 AM - 12:00 PM Eastern Daylight Time

Newly appointed Regional Director of the US Securities and Exchange Commission’s (SEC’s) Philadelphia Regional Office and former Chief of the Criminal Division for the US Attorney’s Office for the District of New Jersey Nicholas P. Grippo will join us to discuss the SEC’s examination and enforcement priorities.

Co-leaders of Morgan Lewis’s Securities Enforcement practice, Kelly L. Gibson and G. Jeffrey Boujoukos, will provide their perspectives as former regulators. Kelly joined Morgan Lewis from the SEC, where she held positions including acting deputy director of the Division of Enforcement; the first leader of the Division of Enforcement’s Environmental, Social, and Governance (ESG) Task Force; and regional director of the SEC’s Philadelphia Office. Jeffrey spent a decade at the SEC in positions including regional trial counsel and regional director of the SEC’s Philadelphia Office.

Following keynote remarks, a panel will discuss investment adviser and broker-dealer hot topics, including implementation of the new marketing rule, industry best practices, proposed rules, and SEC staff guidance. The meeting will conclude with roundtable breakout discussions.

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).