Spring 2025 Philadelphia Compliance Roundtable

Please join us for the Philadelphia Compliance Roundtable, featuring keynote speaker Mark Dowdell, Acting Associate Regional Director (Examinations) for the SEC’s Philadelphia Regional Office and Co-Chair of the SEC’s National Marketing & Sales Practices Working Group.

Following keynote remarks, we will host a fireside chat with Gail Bernstein, General Counsel and Head of Public Policy, and Sanjay Lamba, Associate General Counsel, of the Investment Adviser Association (IAA) for a Washington update and a discussion of the SEC’s recent updates to the Marketing Rule FAQs, which the IAA helped facilitate.

Panelists from Morgan Lewis and Yuter Compliance Consulting will discuss the state of the regulatory environment and practical guidance on hot topics, including rulemaking, examination and enforcement trends and developments, and other regulatory priorities for investment advisers.

After the panels, we will break into a roundtable format to facilitate discussions with your compliance peers.

Register to attend in-person >>

Register to attend virtually (via WebEx) >>