Wednesday, Feb. 26, 2025
8:30 – 9:30 a.m. ET
Virtual
Complimentary
Warner’s Funds and Investments Industry Group Roundtable Series is back! Our first roundtable will be virtual, focusing on two topics: Our expectations for rulemaking and enforcement under the new administration and the SEC Marketing Rule. During this virtual roundtable, Linda Paullin-Hebden will discuss our crystal ball predictions on how the new administration will impact investment advisers. Diane Currie and Andrea McGrew will also discuss identifying covered marketing activities, lessons and guidance from the SEC Risk Alerts and Enforcement Cases, and reviewing policies and procedures as well as implementing best practices.
Chief compliance officers and those with equivalent responsibilities are invited to participate. To facilitate an open and candid discussion, we ask that these discussions be treated confidentially.
Watch for future CCO Roundtable Series invitations for the upcoming events scheduled for:
- May 21, 2025, from 11:45 a.m. to 1:00 p.m. (In-person in Detroit + virtual)
- August 27, 2025, from 12:00 to 1:00 p.m. (Virtual)
- November 19, 2025, from 11:45 a.m. to 1:00 p.m. (In-person in Grand Rapids + virtual)
