The Philadelphia Compliance Roundtable 2022 | Morgan, Lewis & Bockius LLP | 13 April 2022 | Webinar
Venue
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| Event Date | Wed Apr 13 EDT (over 2 years ago) |
| Location | Webinar |
| Region | All |
Details
Following keynote remarks, a panel will discuss investment adviser and broker-dealer hot topics such as the implementation of the new marketing rule, SEC Division of Examinations’ FY 2022 Examination Priorities, recently proposed rules, and enforcement activity. The meeting will conclude with roundtable breakout discussions with your peers.
CLE credit: CLE credit in CA, IL, MN, NY, OH, OR, PA, TX, and VA is currently pending approval. Credit in CT, FL, and NJ is pending approval (via reciprocity).
Speakers
2022 Speakers
Joy G. Thompson
Associate Regional Director, Securities and Exchange Commission’s Philadelphia Regional Office
Timothy W. Levin
Partner, Morgan, Lewis & Bockius LLP
Christine M. Lombardo
Partner, Morgan, Lewis & Bockius LLP
John J. O'brien
Partner, Morgan, Lewis & Bockius LLP