“Staying Informed in an Unsettled Environment”
The 2015 Compliance &
Operations Workshop
Tuesday, June 16, 2015
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 Exam Results and Updated Guidance
• SEC Regulatory & Exam Priorities
• Alternative Investments & SEC Expectations
• Current Issues and Updates in Valuation
Guest Panelists:
• Tom Knipper, Ameritas Investment Partners
• JoAnn Strasser & Cassandra Borchers, Thompson Hine LLP
• Martin Dean, Huntington
• Steve Reichert, JP Morgan Asset Management
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 11, 2015
See Attached Flyer for Details 15-06-16 Compliance Operations Workshop Flyer To register, reply via email or fax the 15-06-16 Compliance & Operations Workshop Registration Form to 513-939-2653.