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IAA 2023 Regional Compliance Roundtables


All times listed are local to the attendee’s city.

Roundtables will take place at the following times:

  • Austin: 9:30 a.m. – 12:00 p.m. CT
  • Los Angeles: 9:30 a.m. – 12:00 p.m. PT
  • San Francisco: 1:00 – 4:00 p.m. PT
  • Atlanta: 9:30 a.m. – 12:00 p.m. ET
  • Denver: 9:30 a.m. – 12:00 p.m. MT
  • Philadelphia: 9:30 a.m. – 12:00 p.m. ET

Each Roundtable will consist of the following parts:

  • Part 1 (45 minutes): Current SEC Inspection Priorities and Compliance Issues, Securities and Exchange Commission Regional Office
    • Austin:
      • Marshall Gandy, Co-National Associate Director of the Investment Adviser/Investment Company Examination Program, SEC
    • Los Angeles:
      • J. Cindy Eson, Associate Regional Director (Examinations), SEC Los Angeles Regional Office
    • Atlanta:
      • H. Edward McConnell, Assistant Regional Director (Examinations), SEC Atlanta Regional Office
    • Denver:
      • Thomas Piccone, Associate Regional Director (Examinations), SEC Denver Regional Office
      • Shannon Seiferth, Regulatory Counsel, SEC Denver Regional Office
    • Philadelphia:
      • Mark Dowdell, Associate Regional Director, SEC Philadelphia Regional Office
  • Coffee Break (15 minutes)
  • Part 2 (15 minutes): Regulatory Update
  • Part 3 (75 minutes): Peer-to-Peer Roundtable Discussion

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