Event

Philadelphia Compliance Roundtable

June 28, 2011
09:30 AM - 02:00 PM

Join Morgan Lewis Investment Management partner Tim Levin, along with ACA Compliance senior principal consultant Lynne M. Carreiro and FX Transparency CEO James McGeehan, Philadelphia Compliance Roundtable members, and other panelists for networking and an informative discussion covering the following topics:

  • Pay-to-Play
  • Enforcement Actions
  • Dodd-Frank Update
  • FX Execution
  • ADV Part 2B
  • Industry Testing Survey Results

Pending final pre-clearance, special guest Jeffrey Boujoukos, regional trial counsel in the SEC Philadelphia Regional Office, will discuss recent SEC enforcement and litigation developments.

Questions for this discussion can be submitted in advance to Rita Rauscher at rarauscher@lcpim.com.

When:
Tuesday, June 28, 2011
9:30 am–2:00 pm

Where:
Morgan Lewis
1701 Market Street
Philadelphia, PA 19103

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