19th Annual IA Compliance: Master Emerging Challenges 2019 | PEI Media | 16 September 2019 | The Inn, 3600 Sansom St, Philadelphia, PA 19104, USA

Increased SEC exams.
Heightened regulatory activity.
The growing challenge to do more with less.
While your workload only grows, you can find solace in the tested solutions discovered by your peers.

Join us in Philadelphia and take-home best practices honed by compliance professionals and hear from regulators about what’s coming around the next bend — so you’re ready and your program remains sharp.

Our day-long IA compliance conference begins with a keynote address by Jeffrey Boujoukos, the regional director of the SEC’s Philadelphia office. He’ll spell out his and the agency’s priorities. Nothing beats being in the know. Other sessions impart:

• The latest on regulatory initiatives being hatched by the SEC.
• Strategies to ensure you’re ready for your next OCIE exam.
• Effective techniques to spot and mitigate your toughest risks.
• Compliance best practices that span the full range of your program.
• Lessons from a bitterly contested enforcement action.
• The latest on your role in helping your firm repel cyber bad guys.
• And much more

2019 Speakers

Jeffrey Boujoukos
Director, Philadelphia Regional Office Securities & Exchange Commission

James Capezzuto
CCO, Oppenheimer Asset Management

Aaron De Angelis
CCO, Spring Mountain Capital

Mark Dowdell
Assistant Director, Philadelphia Regional Office Securities & Exchange Commission

David Edwards
President & Wealth Advisor, Heron Wealth

John Grady
Partner, Practus LLP

Kelly Gibson
Associate Regional Director, for Enforcement Securities & Exchange Commission

Ellen Harvin
Vice President, Fairview Investment Services

Ray Hillen
Managing Director, Cybersecurity, Agio

Richard Kerr
Partner, K&L Gates

Jason Maddox
Director, Information Technology/CISO, Roark Capital Group

Joseph Mannon
Shareholder, Vedder Price

Chuck Martin
Managing Director, Vigilant Compliance LLC

Michael McGrath
Partner, K&L Gates

Joshua Mooney
Partner, White and Williams

Michael Quinn
Managing Director, Kroll

Adam Reback
Director, Optima Partners

Brian Renelt
Deputy CCO, Galliard Capital Management

Steven Weiss
General Counsel/CCO, Roosevelt Investment Group

Sherwyn Williams
CTO/CISO at Siris Capital Group

Jonathan Wowak
Chief Operating Officer, Cipperman Compliance Services

2019 Partners

PARTNERS:
• Charles Schwab
• Cipperman Compliance Services LLC
• Fairview
• Orion Advisor Tech