2014 GCMFA Compliance and Operations Workshop

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...

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