Jill Stolarik

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Kelley Howes will be a panelist on the Investment Adviser Association Fall Compliance Conference on December 2nd in Los Angeles, California. The workshop will be held at the Westin Bonaventure Hotel, and according to the IAA will provide “an excellent opportunity to gain practical insights on challenging legal and regulatory issues facing SEC-registered investment advisers, and to network with compliance and legal professionals at other IAA member firms.” To read more information about this event…
Daniel Nathan will be participating in a panel entitled “Broker-Dealer Compliance and Practical Applications” at the NSCP’s National Conference. The conference will be held at the Gaylord National Harbor Reosrt & Convention Center in National Harbor, MD between November 1st-4th. Among topics the panel will discuss are: Compliance role in the firm: compliance vs. supervision, how not to be a supervisor Documentation – when is it too much? Policies and procedures (maintaining, monitoring, reporting, and recordkeeping) Resources (people,…