Chicago Legal and Compliance Roundtable

February 26, 2019 | (Conference)
311 S. Wacker Drive, 2nd Floor Conference Centre & Lounge Chicago, , IL - 60606 , Countries

Legal and Compliance Roundtable 

Please join us for a roundtable discussion on Tuesday, February 26 with Ken Joseph, Esq., former Senior Officer of the Securities and Exchange Commission and current Managing Director at Duff & Phelps. Ken focuses on serving clients who need informed and proven strategies to successfully navigate a broad spectrum of threats arising from investigations, compliance examinations, litigation and crisis scenarios. Ken has a unique combination of front-line expertise and experience in U.S. securities enforcement, regulatory compliance and corporate governance. Join us as Ken shares his insights and leads a discussion on compliance actions that legal and compliance personnel can take to navigate the SEC's examination and enforcement crosshairs.

Schedule: 11:30 a.m. – 1:30 p.m. (CST)

Lunch will be provided

The unique aspect of this roundtable is that you get to select the topics for discussion and the floor will be open to pose questions to experts.

Click here to register your input.

  • Cybersecurity
  • Gatekeeper and CCO Liability
  • Formulating an Effective Compliance Program
  • Private Fund Initiatives
  • Other SEC Priorities

Please RSVP through the "RSVP Now" link to secure your spot and ensure your name is on the building's security list. 


We are currently applying for advanced accreditation with the Illinois MCLE Board for issuance of CLE credits for this program. More information will be available immediately prior to the program.

Investigations and Disputes

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