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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:
Steve Stone is a guest speaker.