Greenwich CT Investment Adviser Compliance Roundtable

When: March 29th, 2012 – 8:00 a.m. to 10:00 a.m.
Where: Belle Haven Club, 100 Harbor Dr Greenwich, CT


How Will The New Sec Landscape Affect Your Chances Of Being Examined?

ARE YOU KEEPING UP?

Come join us at one of our upcoming roundtables.

March 29th
8:00 a.m. to 10:00 a.m.
Location:
Belle Haven Club
100 Harbor Dr
Greenwich, CT

If you have questions or would like to reserve a spot, email roundtables@seccc.com

Victor L. Zimmermann, Partner
Curtis, Mallet-Prevost, Colt & Mosle LLP and

Janaya Moscony, President
SEC Compliance Consultants, Inc.

These two industry experts will initiate several compliance related conversations covering:

  • The New SEC Landscape and New Examination Cycle
  • What Are the New Odds of being Examined?
  • Form PF
  • Large Traders-Form 13H
  • Risk Management
  • CFTC Exemptions
  • SEC Enforcement
  • Social Media – SEC & FINRA Oversight