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Broker-Dealer/Investment Adviser Compliance Roundtable

October 26, 2011

Atanta Broker-Dealer/Investment Adviser Compliance, ACA Compliance Group

Sutherland Partners Brian L. Rubin and John H. Walsh will speak at the Atlanta Broker-Dealer/Investment Adviser Compliance Roundtable Meeting, co-hosted with the ACA Compliance Group, on Wednesday, October 26, 2011, from 6:00 p.m. to 8:30 p.m.

Topics to be discussed include:

  • The SEC National Examination Program
  • Political and Charitable Contributions
  • Amendments to Form ADV
  • Other Recent Regulatory Issues for Advisers
  • Dodd-Frank Act Update
  • Regulatory Hot Topics
  • Monitoring Reps
  • Trading Issues
Related Practices/Industries

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Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

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