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.
Key Topics:
- Current trends and deficiencies in regulatory exams
- Trends affecting clients and employees
- Trends for registered products and mutual funds
- Launching a mutual fund
Schedule:
- 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)
Speakers:
- Daniel Viola, Partner, Sadis & Goldberg LLP
- Dave Lebisky, Director, Compliance Consulting, Duff & Phelps
- Peter Wilson, Managing Director, Financial Services Compliance and Regulation, Duff & Phelps
