Compliance Workshops

Interactive sessions. Practical insights. Peer-to-peer networking.

Sessions include:

Preparing for a Regulatory Deluge: Receive practical tips and up-to-date information to help you prepare for the upcoming regulatory changes.

New and Notable Focus Areas in SEC Examinations: Learn what to do to prepare for new focus areas of SEC examinations, to include Risk Alerts, off-channel communications, and more.

…and a discussion about current SEC inspection priorities and compliance issues with senior officials from the SEC.

For your convenience, we are offering the compliance workshop both virtually and in-person.

Virtual              September 7

Boston             October 10

New York         November 8

Chicago           November 15

In addition to the in-person Compliance Workshops, attendees will have the opportunity to participate in a peer-to-peer discussion to close out the day.