Speaking Engagements
Both SEC3 and CCO3 are active in the Financial Community and participates in several Industry Events, Roundtables & Conferences as well as hosts educational webinars.
CHIEF COMPLIANCE OFFICER ROUNDTABLE: BREAKFAST BRIEFING
When: April 13, 2016
Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174
22nd Floor Boardroom
Thomas Westle and Janaya Moscony, along with industry experts, will discuss topics of interest to Chief Compliance Officers.
Topics include:
- Recent SEC Exams
- Recent Enforcement Cases
- SEC Regulatory Updates
Schedule:
9:00-9:30 a.m.: Networking and Continental Breakfast
9:30-11:00 a.m.: Program
Space is limited. Due to the overwhelming interest in these events, we are inviting only Chief Compliance Officers and their staff.
Click here to register.
COMPLIANCE SCIENCE SUMMIT 2015
When: November 17, 2015
Where: Convene Midtown East | 730 Third Avenue | New York, NY 10017
Janaya Moscony, President, SEC Compliance Consultants, Inc. will be moderating a session on crisis management with panelists Barry Champney of Vanderbilt Securities and Ric Davidovich of Haynes Boone.
CHIEF COMPLIANCE OFFICER ROUNDTABLE: BREAKFAST BRIEFING
When: October 13, 2015
Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 22nd Floor Boardroom
Thomas Westle and Janaya Moscony, along with industry experts, will discuss topics of interest to Chief Compliance Officers. Topics to be announced.
Read more: CHIEF COMPLIANCE OFFICER ROUNDTABLE: BREAKFAST BRIEFING
The SEC's Examination Priorities: What Every Private Fund Managers Need to Know in 2015 LIVE Webcast
In this CLE course, a panel of thought leaders and professionals organized by The Knowledge Group will provide the audience with an overview of the latest and remarkable issues of this significant topic. The panel aims to help the audience understand the impact of the Securities and Exchange Commission’s 2015 Examination Priorities on private fund advisers. The panel will also offer notable insights regarding best practices for specific areas of concern, exam preparation and survival.
Past Events
Greenwich CCO Compliance Roundtable
When: June 24th 2015
Where: The Belle Haven Club | 100 Harbor Drive, Greenwich CT 06830
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