Chicago Compliance Officer Roundtable: Hot Topics for Investment Advisers

8:30 AM - 12:00 PM CT

Chicago, IL


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.


  • 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.