Sub-Advised Funds Compliance Forum

When:     October 31st, 2012
Where:   The Chrysler Building, Blank Rome, LLP, 405 Lexington Avenue,New York, NY 10174, 22nd Floor Boardroom

Chief Compliance Officer Roundtable Series:

9:00-9:30 a.m.
Networking and Continental Breakfast

9:30-11:00 a.m.

  • CFTC registration of CPOs and CTAs
  • The JOBS Act and the SEC’s recent lifting of the ban on general solicitation and advertising for Private Funds
  • Form PF
  • SEC Exam Focus
  • Regulatory Update:

    •  The news from Washington, D.C.

If you would like to attend or pose a specific question please send an email to and be sure to state which roundtable you will or wish to attend.