| Thursday, October 5, 2023 |
| 10:00 AM - 12:30 PM Eastern Daylight Time |
| 09:00 AM - 11:30 AM Central Daylight Time |
| 07:00 AM - 09:30 AM Pacific Daylight Time |
Join us for the Philadelphia Compliance Roundtable, featuring keynote speaker Shane Cox, Regulatory Counsel, Division of Examinations (Private Funds Unit), US Securities and Exchange Commission (SEC).
Following keynote remarks, two panels on regulatory hot topics—including participants from Morgan Lewis, SEI, Yuter Compliance Consulting, and the Investment Adviser Association—will discuss the state of the regulatory environment and practical guidance concerning the SEC’s new rules for private fund advisers, marketing rule implementation, and other regulatory hot topic issues.
After the panels, we will break into a roundtable format to facilitate discussions with your compliance peers nationwide.
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).