May 15, 2017 (NYC Chief Compliance Officer Roundtable)

  • 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.

Topics include:

  • 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

Click here to register for this event

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