- 9:00-9:30am – Networking and Continental Breakfast
- 9:30-11:00am – Program
Location: 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.
- SEC update including: liquidity rule for funds, and the current status of the DOL fiduciary rule
- What’s going on regarding compliance and what CCO’s need to know to do their jobs
- Recent SEC exams
- Recent enforcement cases
Space is limited. Due to the overwhelming interest in these events, we are inviting only chief compliance officers and their staff.