There’s Never a Good Time to Take the Foot Off the Compliance Pedal
Join us to hear from experienced industry professionals! The panel will tackle topics covering:
- What this means when the SEC is to reduce Enforcement staff back to 2010 levels
- What this means for Investment Advisers as examinations continue
- Strong compliance and first impressions still matter
- Essential Strategies for SEC Exam Day-One Presentations in this environment:
- How to strategically frame your firm’s strengths and culture from the very first slide
- Planning and Preparation for Impact
- Deadly Don’ts: Common Pitfalls to Avoid
- Anticipating Examiner Questions, Best Practices and Techniques
Speakers
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Stephanie MonacoPartner, Sullivan & Worcester LLPStephanie Monaco advises investment management firms, investment companies and hedge funds across a broad range of investment management needs. Formerly an attorney with the US Securities and Exchange Commission, Stephanie brings a deep understanding of the regulatory environment to counseling clients on issues of compliance and product development.
Recognized for years by Best Lawyers in America and Chambers, Stephanie is valued for her regulatory experience in the registered funds space. Clients observe that she is “incredibly responsive” and that “she’s very knowledgeable, very experienced and also has a tremendous business sense.” Chambers has also noted Stephanie’s “great attitude” while observing that she “has a keen understanding of industry issues” and “knows when to step back and when an issue has to be forced.”
Stephanie previously worked with the SEC’s Division of Investment Management, first in the Division’s Chief Counsel’s Office and, later, in the Division’s Office of Investment Company Regulation.
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Jacqueline HallihanChief GRC Officer, Salus GRCJackie is a pioneer in the compliance consulting industry, with a proven track record as an entrepreneur who founded multiple regulatory compliance and technology companies, including a founding partner at Ascendant Compliance Management and founder and CEO of National Regulatory Services. She brings over 30 years of experience, and most recently served in an Executive Director role in compliance services within a RegTech firm. As Chief GRC Officer at SalusGRC, she is responsible for spearheading Salus GRC’s global GRC strategies, with a focus on maximizing growth opportunities. She is a founder and life-time member of the National Society of Compliance Professionals (NSCP).
