Venue
Convene
Convene, 600 14th St NW, Washington, DC 20005, USA

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Event Date Thu May 7 EDT - Fri May 8 EDT (over 1 year ago)
Location Convene
600 14th St NW, Washington, DC 20005, USA
Region Americas
Details

Join your peers at RCW: The Full 360° Compliance View where you will come away with practical guidance to increase engagement in regulatory and compliance practices. We will examine the strategies and procedures that you can employ to best prepare for and meet SEC exam priorities and risk alerts.

Editorially backed by RCW (Regulatory Compliance Watch) – the leading source for authoritative answers to your toughest IA, BD, CPO/CTA & Private Fund compliance questions – this event provides CCOs, general counsels, attorneys, and compliance executives the latest SEC updates as well as insightful and practical solutions for you and your compliance team.

Top Reasons to Attend
• Hear directly from SEC officials
• Gain best practices to improve your compliance program
• Be aware of hot compliance issues coming your way
• 2-days packed with sessions covering SEC exams, fiduciary duty/best interest rule, cybersecurity, advertising & social media, business continuity planning, a regulatory update, and more
• Peer-to-peer networking offering opportunities to thought-share with our industry experts & your fellow compliance peers
• Earn 10.5 CLE/CPE credits for the Main Conference
• Earn 3 CLE/CPE credits for Post-Workshop
• Take home proven exam-prep tips
• Find answers to your toughest compliance challenges
• Go home with RCW’s exclusive compliance toolkit including checklists, worksheets, templates, P&Ps and much more
• Test your approaches against some of the country’s savviest compliance officers
• Pose your most penetrating questions to industry experts
• A chance to hear from leading industry vendors looking to assist you with your greatest compliance challenges

Speakers

2020 Speakers

Carl Ayers
Publisher, Regulatory Compliance Watch

Dawn Baillie
Vice President of Compliance, Wellesley Asset Management, Inc.

Danny Ball
General Counsel, Chief Compliance Officer, SPC Financial

Marita Bartolini
Assistant Director, U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations (OCIE)

David Campbell
General Counsel, Silvercrest Asset Management Group LLC

Christopher Casdia
Chief Compliance Officer, Homrich Berg Wealth Management

Mario Chilin
Chief Compliance Officer, EP Wealth Advisors, LLC

Nicole Davis
Chief Compliance Officer, Northwest Financial Advisors

Beverly Duke
Chief Compliance Officer, Markston International LLC

Chad Earnst
Global Head of Compliance, PGIM

Cynthia Friedlander
Senior Director - Fixed Income Regulation, FINRA

Victor M. Frye
Executive Director and Chief Compliance Officer, ProShares | ProFunds

Seth Gelman
Chief Compliance Officer, Insight Investment

Peter Golotko
President, CPS Investment Advisors

Daniel P. Harley III
Chief Compliance Officer, Channing Capital Management, LLC

Michele Hawkins
Managing Director & Chief Compliance Officer, Fort Washington Investment Advisors, Inc.

Matt Helfrich
Partner and President, Waldron Private Wealth

Robert Hille
General Counsel and Chief Compliance Officer, Laird Norton Wealth Management

Jim Hooks
Executive Vice President, Chief Compliance Officer, Private Advisor Group, LLC

Margaret Iamunno
Chief Compliance Officer, GM Advisory Group

Christopher Jackson
Senior Vice President and General Counsel, Calamos Investments

Daniel S. Kahl
Co-Deputy Director and Chief Counsel, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

Kent Keister
Director of Compliance, Budros Ruhlin Roe

Hugh Kennedy
Group Publisher, Regulatory Compliance Watch

Debra Konieczny
Chief Compliance Officer, Capital Advisors Inc.

Matt Lovett
Chief Compliance Officer, Brookstone Capital Management

Bart McDonald
Executive Vice President, Renaissance Regulatory Services, Inc.

Joseph McGIll
Partner, Chief Compliance Officer, Lord Abbett

LaRue McIntyre
Chief Compliance Officer, TrustCore Financial Services, LLC & Co-Chair Nashville NSCP Compliance Roundtable

Sirimal Mukerjee
Senior Counsel, U.S. Securities and Exchange Commission

William Nelson, J.D., LL.M.
Chief Compliance Officer, Mercer Advisors

Brent Nicks
Chief Compliance Officer, Goss Advisors

Jan Peebles
Chief Compliance Officer, ARGI Investment Services

Mike Phillips
Founder & Chief Executive Officer, Vigilant

Mitzie Pierre
Chief Compliance Officer, IFM Investors

Jennifer E. Papadopolo
Partner and Chief Operating Officer, RegentAtlantic

Robert Rabinowitz
Shareholder, Becker & Poliakoff

Matthew Rothchild
Compliance Officer, EFS Advisors

Emily Rowland
Senior Counsel, U.S. Securities and Exchange Commission

Charlton Rugg
Chief Compliance, Legal, and Technology Officer, Obermeyer Wood Investment Counsel

Michael Snyder
Chief Compliance Officer, Beaumont Financial Partners, LLC

Maurizio Tallini
Chief Compliance Officer, Domini Impact Investment LLC

Neshie Tiwari
Chief Compliance Officer & Counsel, Ellevest

Steven Trigili
Chief Compliance Officer, AMLCO of Garden State Securities, Inc. and Garden State Investment Advisory Services, LLC

Sponsors & Partners

2020 Sponsors and Partners

SPONSORS:
• Becker
• RRS
• Vigilant

MEDIA PARTNERS:
• Ascent
• CCI
• HFLR PELR
• Private Fund CFO

HOST PUBLICATION:
• Regulatory Compliance Watch