Webinar - Risk, Mitigation and Insurance Issues for Investment Advisers
Thursday, May 4, 2017
– 3:15 p.m. (ET)
Investment advisers face constant challenges to stay current and comply
with new and changing regulations in an evolving market place. This webinar will help
advisers to better understand these regulations and how they may reduce or
mitigate certain risks with insurance.
webinar will address:
- Risk identification
- Risk mitigation
- Available insurance products for
- ERISA bonding requirements
- Cybersecurity insurance
- Mitch Avnet, founder and
Managing Partner, Compliance Risk Concepts, LLC
- Lilian A. Morvay, JD, Underwriting & Risk Management
- Amir Tadjedin, Partner, Markun Zusman
Freniere and Compton, LLP
- Paul D. Glenn, Special
Counsel, Investment Adviser Association, Moderator
Webinar Audio Platform
Audio for this webinar will be broadcast through the
internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email firstname.lastname@example.org if you have questions.
Click the "Register" button on this page.
Registration for the live webinar closes
on Wednesday, May 3, at noon ET.
IAA Members and IAA Associate Members: The live webinar and a link to the recording
are complimentary. (Registrations made on or before May 3 at noon ET are
automatically registered for both the live webinar and the recording.)
Non-Members: The live webinar is $250 (per computer logon). The recorded webinar is $250. The cost for both is $475.
For questions regarding this webinar, call (202)
293-4222 or email email@example.com.
About the Presenters
Mitch Avnet is the founder and Managing Partner of
Compliance Risk Concepts, LLC. Mr. Avnet is responsible for business
development, relationship management and overseeing the execution of all client
driven/business focused Compliance and Ethics Risk Management strategic
|Lilian A. Morvay, JD has over 25 years of legal, insurance and
risk management experience in the professional liability arena, with a specific
focus on Investment Adviser and Broker Dealer Errors & Omissions. As an attorney with extensive experience as a
litigator, claims director and underwriter, Ms. Morvay has developed a deep
understanding of both the insurance and the investment industries, which she
has parlayed into the development of IBDC.
|Amir Tadjedin is a partner in the Portland office of
Markun Zusman Freniere and Compton, LLP. His practice focuses on litigating and
arbitrating commercial disputes, with an emphasis on securities and investment
related matters. Mr. Tadjedin also maintains an active regulatory practice
representing firms and representatives in investigations initiated by the SEC,
FINRA, and state regulatory agencies.
|Paul D. Glenn is IAA Special Counsel and started at the
IAA in 2006. Paul has worked at the US Securities and Exchange Commission as a
trial attorney and special counsel in the Division of Enforcement and the
Office of General Counsel, respectively. Mr. Glenn also has experience working
for the OCC (OTS), and two financial institutions.
Paid Registration Cancellation or Substitution
paid registrations: Cancellations and substitutions must be received in writing
no later than noon (ET) Wednesday, May 3, 2017.
There are no refunds for cancellations after this date. Email your requests to firstname.lastname@example.org.