Webinar - Revisiting Your Code of Ethics
Wednesday, May 25, 2016
1:00 - 2:15 p.m. (ET)
Is it time to revisit your Code of Ethics? Expert panelists will guide attendees through key issues that investment advisers should consider in assessing their existing Codes of Ethics, including:
- Who should be involved in the process?
- Who should be covered by the Code?
- What should be covered in the Code?
- What should be the consequences of violations of the Code?
- Perennial questions
- John H. Walsh, Partner, Sutherland Asbill & Brennan LLP
- Michael B. Koffler, Partner, Sutherland Asbill & Brennan LLP
- Kathy D. Ireland, Associate General Counsel, IAA (Moderator)
Registration for the live event is now closed. Click the "Register" button on this page to order the recording.
|IAA Members and Associate Members
*Per computer login
regarding this webinar, call (202) 293-4222 or email IAAevents@investmentadviser.org.
About the Presenters
|John H. Walsh is a Partner in Sutherland’s Financial Services Group and a member of the Securities Enforcement and Litigation Team. As a 23-year veteran of the Securities and Exchange Commission (SEC), he played a key role in creating the Office of Compliance Inspections and Examinations (OCIE) and held several high-ranking positions on committees and task forces. Mr. Walsh received his J.D. for Georgetown University Law Center, a Ph.D. from Boston College, an M.A. from Northeastern University, and his B.A., summa cum laude, from Worchester State University.
|Michael B. Koffler is a Partner in Sutherland’s Financial Services Group. He guides investment advisers, broker-dealers and investment funds in their compliance with federal and state securities laws and regulations, and SRO rules. Mr. Koffler served two years on the staff of the U.S. Securities and Exchange Commission (SEC) in the Division of Investment Management, where he reviewed registration statements, no-action requests, exemptive applications and proxy statements. He received his J.D. from the University of Pennsylvania Law School and his B.A., summa cum laude, from the State University of New York at Binghamton.
|Kathy D. Ireland (moderator) is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, she acted as an independent consultant focusing on pension and securities issues. Previously, Ms. Ireland served as Associate Counsel and Senior Associate Counsel at the Investment Company Institute, representing the mutual fund industry in regulatory matters before the DOL, the IRS, and the SEC. She received her B.S. degree, magna cum laude, from Lebanon Valley College, her law degree from the College of William & Mary, and an LL.M. in Labor Law from the George Washington University National Law Center.
Paid Registration Cancellation or Substitution
For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Monday, May 23, 2016. There are no refunds for cancellations received after this date. Email your requests