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March 8, 2012
2012 IAA Investment Adviser Compliance Conference
Sutherland Partner John H. Walsh is a panelist at the 2012 IAA Investment Adviser Compliance Conference on March 8, 2012. John will discuss the adviser’s code of ethics. Panelists will cover how to focus effectively on the highest-risk areas and will discuss best practices for monitoring, testing, administering and enforcing the code of ethics and its securities reporting requirements for access persons, including appropriate sanctions for code violations.
For more information, click here.