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IAA 2022 Regional Compliance Roundtables

Agenda

All times listed are local to the attendee’s city.

9:30 – 10:20 a.m. Current SEC Inspection Priorities and Compliance Issues, U.S. Securities and Exchange Commission Regional Office

  • Dallas: Michael Gunst, Assistant Director, SEC Fort Worth Regional Office
  • Atlanta: John P. Sweeney, Strategic Risk Coordinator, SEC Atlanta Regional Office
  • Washington, D.C.: Marshall Gandy, Co-National Associate Director, IA-IC Examinations (SEC Division of Examinations) (via Zoom video)
  • San Francisco: Elena Ro, Associate Regional Director (Examinations) and Acting Assistant Regional Director (Operations), SEC San Francisco Regional Office
  • Los Angeles: Michele Wein Layne, Regional Director, SEC Los Angeles Regional Office
10:20 – 10:35 a.m. Break
10:35 – 11:00 a.m. Regulatory Update/Compliance Workshop Highlights
11:00 a.m. – 12:00 p.m.  Peer-to-Peer Roundtable Discussion

Agenda

Registration Information

Speakers

Venue Information

COVID-19 Information

Event Policies

Regional Compliance Roundtables

Contact

Lisa Gillette
lisa.gillette@investmentadviser.org or (202) 293-4222.

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