Hot Topics for Investment Advisers
On June 13, 2024, Sidley, ACA Group, and the Investment Adviser Association hosted an engaging conversation with Jennifer Duggins, Assistant Director and Co-Head of the Private Funds Unit within the U.S. Securities and Exchange Commission's Division of Examinations, and Brian Caravello, Exam Manager in the Private Funds Unit. We discussed various current topics including Off Channel Communications, The Marketing Rule, Outsourcing, and SEC Exam Trends, including considerations for firms' uses of artificial intelligence.
MODERATOR
- Elizabeth Shea Fries, Investment Funds Partner and Global Practice Leader, Sidley
SPEAKERS
- Jennifer Duggins, Assistant Director and Co-Head, Private Funds Unit, Division of Examinations, U.S. Securities and Exchange Commission
- Brian Caravello, Exam Manager, Private Funds Unit, Division of Examinations, U.S. Securities and Exchange Commission
- Monique Botkin, Associate General Counsel, Investment Adviser Association
Formerly an attorney in the Division of Investment Management with the SEC
- Joshua Broaded, Partner and Head of Regulatory Advisory Solutions, ACA Group
Formerly an examiner for the SEC
- Chuck Daly, Investment Funds Partner, Sidley
- Carlo di Florio, Global Advisory Leader, ACA Group
Formerly held positions as Chief Risk & Strategy Officer with FINRA and Director, OCIE with the SEC - Lara Mehraban, Securities Enforcement and Regulatory Partner, Sidley
Formerly the Acting Director of the New York Regional Office and Associate Regional Director of the New York Office’s Enforcement Division at the SEC
SCHEDULE
Registration and Breakfast
8:30 a.m.
Program
9:00 a.m. – 12:00 p.m.
For more information or questions, please contact nyevents@sidley.com.
The information provided in this program does not constitute legal advice. This program was not recorded and is not for attribution.
