Wednesday, November 15, 2023 |
08:30 AM - 01:45 PM Eastern Standard Time |
Partner Christine Ayako Schleppegrell will participate in the 2023 Investment Adviser Association Compliance Workshops in Chicago. Christine will speak on the panel New and Notable Focus Areas in SEC Examinations, which will provide guidance on how to prepare for new focus areas of these examinations, including risk alerts, off-channel communications, and more.