Chicago Chief Compliance Officer Roundtable

Please join us for an engaging conversation with Matt Harris, Assistant Director and Co-Head of the Private Funds Unit of the SEC’s Division of Examinations in Chicago.

In our first panel we’ll cover examination and enforcement priorities, in-person versus remote exams, and environmental, social, and governance (ESG)/marketing.

Our second panel, featuring Morgan Lewis lawyers Jack O’Brien, Zeke Johnson, Christine Schleppegrell, and Sarah Riddell, will cover the SEC’s rulemaking agenda, including the recent predictive data analytics proposal, ecomms, cybersecurity, staffing and outsourcing, reactions to the Private Fund Adviser Final Rule, and other retail-facing or registered-fund priorities and areas of focus.

To facilitate open and dynamic discourse, this program will be held in person only—in Morgan Lewis’s Chicago offices. Dial-in options will not be available. We look forward to seeing you there!