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Conferences and Speeches

2014 MMI Compliance & Legal Seminar

Wednesday, June 11, 2014
01:00 AM ET

The SEC’s Office of Compliance Inspections and Examinations (OCIE) has announced that fee-based programs are one of their examination priorities for 2014.

During this one-day conference—designed for senior business executives, chief compliance officers and their legal counsel—industry experts from manager and sponsor firms will discuss the most challenging issues they face and their best practices with respect to compliance, marketing, due diligence, client communications and distribution. This is an opportunity to connect with and learn from some of the best regulatory and compliance minds in our industry.

Session highlights include:

  • Current regulatory and policy developments affecting managed accounts
  • Update on ERISA regulatory developments
  • Best practices for dealing with SEC staff examinations

Steve Stone is a guest speaker.