Investment Management Partners Speak at 2015 IAA Compliance Conference
Investment management partners Rick Marshall (New York) and James Thomas (Boston) spoke at the 2015 Investment Adviser Association’s (IAA) Compliance Conference on March 5 and 6 in Arlington, Virginia.
On March 5, Mr. Marshall participated in a panel titled “SEC Enforcement,” which covered the latest trends and significant enforcement actions involving investment advisers.
On March 6, Mr. Thomas participated in a panel titled “Automated Compliance Issues,” which focused on compliance controls, cost of compliance, mitigating the risk of errors, cloud storage, and business continuity issues associated with the oversight of personal trading/code of ethics activities, trading and allocations, employee use of social media, insider trading, and best execution.
Click here for more information about the conference.