Phila Compliance Outreach Seminar

When: December 17th 2014
Where: Drinker Biddle & Reath LLP | One Logan Square, Ste. 2000, Philadelphia, PA 19103

Mark Dowdell Assistant Regional Director in the SEC’s Philadelphia Regional Office, Mary Hansen, Partner at Drinker Biddle & Reath and Irshad Karim, Managing Director at SEC Compliance Consultants, Inc. will discuss

  • SEC 2015 Exam Priorities
  • Lessons from recent Enforcement Cases and Deficiency Letters
  • CCO Liability

9:00-9:30am – Networking and Continental Breakfast
9:30-11:00am – Program

This event is free of charge.