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Speaking Engagements

Senior Fellow for the College of Regulatory Compliance. Author and moderator for various sessions, including "Recent Amendments to Form ADV", "Emerging Investor Issue - Compliance Program Transparency", and Investment Manager Model Compliance Manual®."

Frequent speaker on continuing legal education and securities topics, most recently:

"Asset Manager Code of Profession Conduct: 'Along the GIPS Continuum'", CFA® Institute Annual Meeting, Philadelphia, PA, May 24, 2017, hosted by the CFA® Institute.

"2017 Investor Due Diligence Requirements: Compliance Transparency and Beyond," presented at the Compliance, Risk & Enforcement Symposium, New York, NY, November 2, 2016, hosted by the Regulatory Compliance Association, Inc.

"Conflicts of Interest: Addressing the Recent Spate of Enforcement Actions," presented at the Regulation, Operations and Compliance - Bermuda 2016™ Symposium, April 18, 2016, hosted by the Regulatory Compliance Association, Inc.

"Conflicts of Interest: Updating Procedures, Practices and Documents to Address New SEC and DOL Fiduciary Initiatives," Enforcement, Compliance and Operations - 2016, New York, NY, May 17, 2016, hosted by Regulatory Compliance Association, Inc.

"Meeting Expectations in Today's Regulatory Environment," 12th Annual Alternative Investment Industry Update, Baltimore MD, November 10, 2015, hosted by Arthur Bell CPAs