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SEC Exam Hot-Spots and Guidance to Prepare for Examination

March 15-16, 2012

IA Compliance Best Practices Summit 2012

Two Sutherland partners are speaking at the IA Compliance Best Practices Summit 2012, March 15-16, 2012 in Washington, D.C. Their presentations include:

  • What New Department of Labor Rules Mean for ERISA Participants – W. Mark Smith
  • SEC Exam Hot-Spots and Guidance to Prepare for Examination – John H. Walsh

This event delivers a roster of SEC speakers, former regulators, compliance peers, industry consultants and law firm practitioners. Industry topics include: insider trading, the annual review, the Whistleblower Rule, privacy protection and state registration.

For more information or to register, click here.

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