 Featured Event |
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Apr
24
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Tuesday1:15 PM - 3:15 PM (ET)
Ideally, your firm’s advertisements, contracts, disclosures and supervisory procedures should perfectly mesh. In practice, as these documents are often created by different persons with different sets of goals, and may be updated at different times, there may be points on which they contradict each other. What should you do when you find areas of disagreement among these key documents? In this interactive session panelists and attendees will examine some common (and not-so-common) examples of material discrepancies and review the various steps that may be used to correct them.
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Mar
21
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Tuesday
1:00 PM
- 3:00 PM
(ET)
Speakers - c. Sandra Stevenson: Senior Consultant, NRS | Rob Stirling: Executive Consultant, NRS
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Apr
4
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Tuesday
1:00 PM
- 3:00 PM
(ET)
Speakers - Laura Grossman: Assistant General Counsel: Investment Adviser Association (IAA) | Kimberly Versace: Counsel, Richards Kibbe & Orbe LLP | Anne Choe: Associate, Willkie Farr & Gallagher LLP
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Apr
6
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Thursday
1:00 PM
- 3:00 PM
(ET)
Speakers: Tammy Patel: Senior Consultant, NRS | Lawrence Stadulis: Partner, Stradley Ronon Stevens & Young LLP
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Apr
13
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Thursday
1:00 PM
- 3:00 PM
(ET)
Speakers: Marianne O’Doherty: Chief Compliance Officer, NISA Investment Advisors, L.L.C. | John Van Der Wal: Consultant, NRS
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Apr
18
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Tuesday
1:00 PM
- 3:00 PM
(ET)
Speakers: Sonny Carpenter: Associate, BakerHostetler | David McCandless: Associate, K&L Gates LP | Robert Sichel: Partner, K&L Kates LP | Ron Stirling: Executive Consultant, NRS
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