Compliance Issues for Smaller Investment Advisers

 

Webinar: Compliance Issues for Smaller Investment Advisers

Thursday, June 6, 2013, 1:00 pm - 2:15 pm ET

Presenters

  • Mari-Anne Pisarri, Partner, Pickard and Djinis LLP
  • Will Edick, Partner, Pickard and Djinis LLP
  • Paul Glenn, Special Counsel, IAA (Session Moderator)

Topics Covered

This webinar will address compliance issues most relevant to smaller SEC-registered investment advisers. Some of the topics to be covered include:

  • Compliance policies and procedures, chief compliance officers, annual reviews, monitoring and testing
  • Preparing for an SEC examination, oversight review, or other “visit”
  • Customer service, custody, dealing with custodians, maintaining books and records
  • Overseeing service providers, lawyers, compliance consultants, and vendors
  • Identifying and dealing with problem clients, employees, and others

Register Today

Registration for the live event has closed, but the recording can still be purchased by selecting the "Registration" or "Group Registration" links on the left side of this page.

 

Live Recording Both
Members and Associate Members $125 $125 $200
Non-Members $200 $200 $375

 

About the Presenters

 


Mari-Anne Pisarri is a partner in the Washington, D.C. law firm of Pickard and Djinis LLP, where her practice focuses on regulatory issues affecting investment advisers, credit rating agencies and companies providing electronic services to the securities industry. She has written and spoken extensively on investment adviser regulation, and she periodically publishes an Investment Adviser Compliance Guide. Ms. Pisarri received her B.A., summa cum laude, from St. Lawrence University, and her J.D., magna cum laude, from Cornell University. She is licensed to practice in New York State and the District of Columbia, and before a number of federal trial and appellate courts.

William D. Edick is a partner in Pickard and Djinis LLP, a boutique securities law firm located in Washington, D.C. Mr. Edick specializes in regulatory and enforcement matters involving broker-dealers, investment advisers, investment companies, hedge funds and issuers. Mr. Edick counsels clients on compliance and registration issues, and represents clients before the SEC, FINRA and other securities industry regulators. Prior to joining Pickard and Djinis, Mr. Edick was an analyst with the Marker Surveillance Department of the NASD, where he specialized in insider trading investigations. Mr. Edick received his B.S. and J.D., summa cum laude, from The American University, and his LL.M., with distinction, from Georgetown University. He is licensed to practice in the District of Columbia and Maryland.

Paul D. Glenn is Special Counsel for the Investment Adviser Association. Previously, he worked for 12 years at the U.S. Securities and Exchange Commission as a trial attorney and special counsel in the Division of Enforcement and the Office of General Counsel. Mr. Glenn also worked at the Office of the Comptroller of the Currency (OTS), U.S. Treasury, as Deputy Chief Counsel and Special Counsel. He served as Vice President and Director of Compliance for PNC Bank N.A. in Washington, D.C., (formerly Riggs) and Millennium Bank N.A. in Reston, Va. He holds an LL.M from Georgetown University Law Center and his J.D. and B.A. from Case Western Reserve University. He received an honorary doctor of laws degree from Nyack College in 2010. Mr. Glenn is a member of the Bar of the Supreme Court of Ohio, the Supreme Court of the United States and other federal courts.

 

Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00pm ET Tuesday, June 4, 2013. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.