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Webinar: SEC Examinations: Practical Tips from Your Peers

Wednesday, April 16, 2014
2:00 p.m. - 3:30 p.m. (ET)

Topics Covered

The SEC recently announced its examination priorities for 2014. In this interactive webinar, industry experts will provide you with practical tips to prepare for an SEC exam, including:

• How to prepare for SEC examinations in light of the published priorities;
• Best practices for handling SEC examinations;
• The dos and don’ts for chief compliance officers; and
• Lessons learned from SEC examinations and enforcement actions.

Presenters

• Chris Marzullo, General Counsel & Chief Compliance Officer, Brandywine Global Investment Management, LLC
• Gregory Merz, Special Regulatory Counsel, Proskauer Rose LLP
• Sanjay Lamba, Assistant General Counsel, IAA (Moderator)

Register Today

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

Live Recording Both
Members and Associate Members $125* $125 $200
Non-Members $200* $200 $375
*Per computer login

Questions?

For questions regarding this webinar, call (202) 293-4222 or email IAAevents@investmentadviser.org.

About the Presenters

Chris Marzullo is General Counsel & Chief Compliance Officer at Brandywine Global Investment Management, LLC. Chris is responsible for overseeing and managing all legal and compliance matters within the organization. Prior to joining Brandywine Global, he served as associate general counsel with Legg Mason, Inc., Brandywine Global's parent company. Chris received his J. D., graduating magna cum laude, from the University of Baltimore School of Law, and earned his B.S. in Industrial and Labor Relations from Cornell University.
 
Greg Merz is Special Regulatory Counsel in the corporate department of Proskauer Rose LLP, in the Washington, D.C. office. Greg focuses on regulatory and compliance issues for private investment firms, investment advisers, mutual funds, and financial services companies. He has extensive experience with the application of federal and state securities laws to all aspects of the asset management industry, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, Securities Act of 1933, the Securities Exchange Act of 1934, Dodd-Frank Wall Street Reform and Consumer Protection Act, Graham-Leach-Bliley, the PATRIOT Act, the Bank Secrecy Act and state blue sky laws.
 
Sanjay Lamba is Assistant General Counsel at the Investment Adviser Association. Prior to joining the IAA, Sanjay worked at the SEC, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations. Prior to the SEC, Sanjay was an associate in the investment management practice groups at Morrison & Foerster LLP and Dechert LLP. He received his B.S. degree in Finance from George Mason University and his law degree from Boston University. He is a member of the bar in the Commonwealth of Virginia and the District of Columbia.

 

Registration Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Monday, April 14, 2014. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.