Chief Compliance Officer Roundtable: Breakfast Briefing

When: October 20, 2016
Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom | Phone: 212.885.5000

Thomas Westle and Janaya Moscony, along with industry experts, will discuss topics of interest to chief compliance officers.

Topics include:

  • SEC updates including: revisions to form ADV, business continuity rule, liquidity rule for funds, and the DOL fiduciary rule
  • What CCO’s need to know about cybersecurity and indemnification agreements
  • Recent SEC exams
  • Recent enforcement cases


9:00-9:30 a.m. – Networking and Continental Breakfast
9:30-11:00 a.m. – Program

Click here to register

Space is limited. Due to the overwhelming interest in these events, we are inviting only chief compliance officers and their staff.