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Chicago Compliance Roundtable Meeting
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Chicago Compliance Roundtable Meeting

Compliance Roundtable Meeting

 Export to Your Calendar 10/18/2017
When: Wednesday October 18, 2017
11:30 AM - 1:30 PM
Where: Fairpointe Capital
One N Franklin Ste 3300
Chicago, Illinois 
United States
Contact: Jennifer Litchfield
888-241-6881 x-701


Online registration is available until: 10/18/2017
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Compass Compliance Services (www.compasscomplianceservices.com) will lead a peer group roundtable discussion on current compliance topics on Wednesday, October 18th, the day before the Chicago regional meeting.

 

Michael Henry, with 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.

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