Washington DC Compliance
Round Table
Events
Web Event: SEC Proposal - Outsourcing by Investment Advisers
Jennifer Porter
Rulemaking Office – Investment Adviser Regulation Office
Division of Investment Management
Securities and Exchange Commission
20 april 2023
04:30 pm est
Join us for a virtual meeting with Jennifer Porter, a senior special counsel in the Investment Adviser Regulation Office within the SEC’s Division of Investment Management. Jennifer will discuss the SEC’s recent rule proposal on Outsourcing by Investment Advisers. The discussion will focus on the proposal’s requirements for outsourced service provider due diligence and monitoring.
WDCCRT Members can RSVP at contact@wdccrt.org by COB 04/17/23 to receive log-in information.
About WDCCRT
The Washington DC Compliance Round Table is a trade association organized primarily for the purposes of promoting the following common business interests:
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To educate compliance professionals in the financial and securities industries; and
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To facilitate networking opportunities for compliance professionals in the financial and securities industries.
The Washington DC Compliance Round Table is a nonprofit organization under Section 501(c)(6) of the Internal Revenue Code of 1986.
For membership information please use Contact form
WDCCRT Board
Board Director Global CCO, EJF Capital LLC
Sponsors
Past Events
12/01/2022
Webinar: Demystifying Cyber Insurance
Gregory T. Longest
Managing Director at Marsh McLennan
10/20/2022
Web Event: SEC Enforcement Cyber Security issues
Melissa R. Hodgman
Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission
9/15/2022
Webinar: Overview of Proposed SEC Cybersecurity Rules for Investment Advisers, Registered Investment Companies, and Business Development Companies
Speaker:
Laura Grossman
Associate General Counsel of the Investment Adviser Association (IAA)
Maria Chambers
CCO and VP, Klingenstein Fields Advisors
Marina Baranovsky
Managing Partner, Scitus Consulting LLC & Board President, WDCCRT
7/14/2022
Webinar: 2022 SEC Private Funds Proposal: Key Considerations
Speaker:
Kim Versace
Chief Compliance Officer of Cartica Capital Management LLC
5/26/2022
Web Event: ESG Regulation Overview
Speaker:
Elizabeth King
President, ICE ESG & Chief Regulatory Officer, Intercontinental Exchange