April 15 - 17, 2019

Refreshing Your Annual Review Process to Address Business and Regulatory Risks


Jeffrey Blumberg discusses evolving annual review processes for investment advisors, focusing on Rule 206(4)-7.
Loews Miami Beach Hotel
1601 Collins Ave
Miami Beach, FL 33139

Services and Industries


  • John Gentile — Ascendant
  • Eugenie Warner — Ascendant
  • Heather Kaden — Head of Investment Advisory Compliance, Jennison Associates
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