Please join experts from Sadis & Goldberg LLP and Duff & Phelps for a breakfast roundtable discussion highlighting regulatory exams and deficiencies, current trends for registered products and mutual funds and other developments impacting advisors, GCs, CCOs, portfolio managers and other investment management professionals.
Register for this roundtable breakfast here.
- Current trends and deficiencies in regulatory exams
- Trends affecting clients and employees
- Trends for registered products and mutual funds
- Launching a mutual fund
- 8:00 a.m - 8:30 a.m – Networking Breakfast
- 8:30 a.m. - 9:30 a.m. – Roundtable Discussion
All timings mentioned are in EST (Eastern Standard Time)