The 2014 Compliance &
Operations Workshop
Wednesday, June 11, 2014
5:30 p.m. – 6:00 p.m. Networking
6:00 p.m. – 7:30 p.m. Workshop
Scripps Center Conference Room
312 Walnut Street, 10th Floor
Cincinnati, Ohio 45202
(parking available in Scripps Center garage)
Recapping the Investment Management Conference and ICI Compliance & Operations Conference
Topics Include:
• Cyber Security & SEC Sweep Exams
• SEC Regulatory & Exam Priorities & Techniques
• Intermediary/Distribution Oversight & Communicating with Your Board
• Lightning Round – Four Quick Topics in Ten Minutes
Guest Panelists:
• Babu Sonti & Tom Knipper, Ameritas Investment Partners
• JoAnn Strasser, Thompson Hine LLP
• Martin Dean, Huntington
The Seminar is open to all employees in your organization, a benefit of your membership and participation in the Greater Cincinnati Mutual Funds Association.
Please forward this notice to other associates who may benefit from participation (i.e. portfolio management, call center & transfer agent teams, marketing department, etc.)
Attending a GCMFA event provides financial professionals continuing education and the opportunity to interact and network with their peers who face the same daily challenges.
Program is Free to GCMFA members!
$100 non-member fee.
Deadline for Reservations: June 4, 2014
See Attached Flyer for Details 14-06-11 Compliance & Operations Workshop Flyer. To register, reply via email or fax the 14-06-11 Compliance & Operations Workshop Registration Form to 513-939-2653.