Event Recap
October 07, 2013
2013 Philadelphia CCO Compliance Roundtable
Overview
Philadelphia partners Josh Deringer and Mary Hansen held a compliance panel discussion and roundtable featuring Mark Dowdell, Assistant Regional Director in the SEC’s Philadelphia Regional Office and Linda Smith at SEC Compliance Consultants, Inc. The program addressed:
- SEC 2013 Exam Priorities
- Update on the 2013 Exam Results and a preview of 2014 Exam Priorities
- Recent SEC Investigations and Enforcement Actions
- JOBS Act: both the adopted rules (general solicitation; bad actors) and the proposed rules
Services and Industries
Speakers
