Investment Management Counsel Participates on Three Panels at Regulatory Compliance’s Compliance
Investment management counsel David Tittsworth (Washington, D.C.) participated on three panels at Regulatory Compliance’s annual Compliance Conference, held Sept. 24-25. Mr. Tittsworth moderated the regulatory roundtables with former and current SEC and state regulators (RIA) panel, which detailed the compliance topics that should be current priorities for every investment adviser. Mr. Tittsworth was also a panelist in the sessions titled “Growing Your Business with Regulatory Confidence” and “Senior Sales Practices.” These panels respectively outlined how to balance firm growth and expansion while balancing compliance considerations, and discussed how advisers can break down financial complexities in order to deliver sound, suitable retirement advice to senior clients.
The three-day annual conference also featured sessions with practical guidance on how CCOs can manage their risk liability, how to create a culture of compliance on a firmwide basis, best practices for conducting meaningful best execution reviews and protective measures firms should be taking in cyber security.