New York Compliance Officer Roundtable: Hot Topics for Investment Advisers


New York, NY


Please join us for an engaging conversation with Jennifer Duggins, Assistant Director and Co-Head of the Private Funds Unit within the U.S. Securities and Exchange Commission's (SEC's) Division of Examinations, and Brian Caravello, Exam Manager in the Private Funds Unit. 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
  • SEC Exam Trends, including considerations for firms' uses of artificial intelligence

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.


  • Jennifer Duggins, Assistant Director and Co-Head, Private Funds Unit, Division of Examinations, U.S. Securities and Exchange Commission
  • Brian Caravello, Exam Manager, Private Funds Unit, Division of Examinations, U.S. Securities and Exchange Commission
  • Monique Botkin, Associate General Counsel, IAA Formerly an attorney in the Division of Investment Management with the SEC
  • Chuck Daly, Investment Funds Partner, Sidley
  • Lara Mehraban, Securities Enforcement and Regulatory Partner, Sidley Formerly the Acting Director of the New York Regional Office and Associate Regional Director of the New York Office’s Enforcement Division at the SEC
  • Elizabeth Shea Fries, Investment Funds Partner and Global Practice Leader, Sidley
  • Joshua Broaded, Partner and Head of Regulatory Advisory Solutions, ACA Group Formerly an examiner for the SEC
  • Carlo di Florio, Global Advisory Leader, ACA Group Formerly held positions as Chief Risk & Strategy Officer with FINRA and Director, OCIE with the SEC

Register here


Date: Thursday, June 13, 2024
Registration and Breakfast: 8:30 AM ET
Program: 9:00 AM - 12:00 PM ET
Location: Sidley Offices | 787 Seventh Avenue, New York, NY 10019


We encourage you to prepare questions for the speakers. You may ask your questions live during the event or in advance by emailing by June 1, 2024, and we will ask them anonymously during the program.

For more information or questions, please contact

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