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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.

Events

About WDCCRT

The Washington DC Compliance Round Table is a trade association organized primarily for the purposes of promoting the following common business interests:

 

  • To educate compliance professionals in the financial and securities industries; and

  • 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

About

Sponsors

Sponsors
Past Events

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

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