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Louisville, KY Compliance Roundtable Meeeting
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Louisville, KY Compliance Roundtable Meeeting

Compliance Roundtable Meeting

When: Monday October 30, 2017
11:30 AM - 2:30 PM
462 South Fourth Street
Louisville 40202
United States
Contact: Jennifer Litchfield
888-241-6881 x-701

Online registration is closed.
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Compass Compliance Services ( will lead a peer group roundtable discussion on current compliance topics.


Compass Compliance will lead discussions regarding upcoming ADV changes, vendor due diligence, and cybersecurity procedures, and expand on any additional questions and comments from the Regional Meeting regarding current SEC exam formats.  Members may also share their comments and insights with each other on any of these topics and additionally on other topics such as internal firm compliance testing and IPS management. Lunch will be provided during the meeting.

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