Heads or Tails: Navigating Regulatory Headwinds, Tailwinds, and Challenges for the CCO - Breakfast at ICI's Investment Management Conference

We invite those attending the ICI Investment Management Conference to join us for breakfast Monday, March 18 at 7am where we'll have a dynamic discussion unpacking current regulatory headwinds and tailwinds impacting CCOs today. 

Join our panelists as they discuss key regulatory priorities, emerging risks, and industry trends. The panel will explore implications for firms and share insights on how to successfully navigate the evolving regulatory landscape.

Together, we'll discuss our insights and best practices on:

• Electronic Communications Recordkeeping Enforcements – The SEC has shown no signs of slowing down its ongoing campaign on off-channel communications recordkeeping failures. 
• AML Considerations – Following the recent FinCEN proposal AML Obligations may be coming for Investment Advisors.
• Tailored Shareholder Reporting Rule – The SEC has adopted rule and form amendments that will transform how mutual funds and exchange traded funds (ETFs) present shareholder reports. 
• The SEC Marketing Rule – We're now one year after the compliance date and there have been a number of lessons learned for firms struggling to comply with the new marketing rule.

Join us for Coffee, Conversation, and Connection!

Date: Monday, March 18
Time: 7:00-8:15 AM
Topic: Heads or Tails: Navigating Regulatory Headwinds, Tailwinds, and Challenges for the CCO
Location: Santa Rosa Ballroom

Speakers

• Carlo di Florio, Global Advisory Leader, ACA Group

• Nicole Morton, Managing Director, ACA Group
• Cal J. Gilmartin, Partner, K&L Gates
• Mike McGrath, Partner, Dechert, LLP