IAA 2023 Regional Compliance Roundtables

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

Roundtables will take place at the following times:

• Austin: 9:30 a.m. – 12:00 p.m. CT
• Los Angeles: 9:30 a.m. – 12:00 p.m. PT
• San Francisco: 1:00 – 3:30 p.m. PT
• Atlanta: 9:30 a.m. – 12:00 p.m. ET
• Denver: 9:30 a.m. – 12:00 p.m. MT
• Philadelphia: 9:30 a.m. – 12:00 p.m. ET

Each Roundtable will consist of the following parts:

• Part 1 (45 minutes): Current SEC Inspection Priorities and Compliance Issues, Securities and Exchange Commission Regional Office
  • Austin:
    • Marshall Gandy, Co-National Associate Director of the Investment Adviser/Investment Company Examination Program, SEC
  • Los Angeles:
    • J. Cindy Eson, Associate Regional Director (Examinations), SEC Los Angeles Regional Office
  • Atlanta:
    • H. Edward McConnell, Assistant Regional Director (Examinations), SEC Atlanta Regional Office
  • Denver:
    • Thomas Piccone, Associate Regional Director (Examinations), SEC Denver Regional Office
    • Shannon Seiferth, Regulatory Counsel, SEC Denver Regional Office
  • Philadelphia:
    • Mark Dowdell, Associate Regional Director, SEC Philadelphia Regional Office
• Coffee Break (15 minutes)
• Part 2 (15 minutes): Regulatory Update
• Part 3 (75 minutes): Peer-to-Peer Roundtable Discussion