Chicago Compliance Officer Roundtable: Hot Topics for Investment Advisers

Please join us for an engaging conversation with Louis Gracia, Associate Regional Director, U.S. Securities and Exchange Commission. The program will be co-hosted by Sidley, ACA Group, and the Investment Adviser Association. We’re looking forward to discussing various current topics including:

• Off Channel Communications
• The Marketing Rule
• Outsourcing
• Cybersecurity
• SEC Exam Trends

To encourage candid discourse, this program will be held in-person only. Dial-in options will not be available.

We look forward to reconnecting with colleagues for our signature program.

CLE credit is pending.

Speakers

• Louis Gracia, Associate Regional Director (Examinations), SEC
• Josh Broaded, Head of Global Regulatory Compliance, ACA Group
• Nick Batinich, Partner, ACA Group
• Monique Botkin, Associate General Counsel, IAA
• Chuck Daly, Investment Funds Partner, Sidley
• Ranah Esmaili, Securities Enforcement and Regulatory Partner, Sidley
• Simon Saddleton, Investment Funds Partner, Sidley

Event Details

Date: Tuesday, April 30, 2024
Registration and Breakfast: 8:30 AM CT
Program: 9:00 AM - 12:00 PM CT
Location: Sidley Offices | One South Dearborn, 37 Floor, Chicago, IL 60603

The information provided in this program does not constitute legal advice. This program will not be recorded and is not for attribution.