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

Compliance Roundtable Meeting

 Export to Your Calendar 10/30/2017
When: Monday October 30, 2017
11:30 AM - 1:30 PM
Where: RIVER ROAD ASSET MANAGEMENT
462 South Fourth Street
Louisville 40202
Contact: Jennifer Litchfield
888-241-6881 x-701


Online registration is available until: 10/30/2017
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Compass Compliance Services (www.compasscomplianceservices.com) will lead a peer group roundtable discussion on current compliance topics.

 

Compass Compliance will lead discussions regarding upcoming ADV changes, vendor due diligence, general guidance on DOL 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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