Compliance &
Operations Workshop
Tuesday, June 11, 2013
5:30 p.m. – 6:00 p.m. Networking
6:00 p.m. – 7:30 p.m. Workshop
1900 Scripps Center
312 Walnut Street, 10th Floor
Cincinnati, Ohio 45202
Recapping the ICI & FBA Investment Management and Mutual Fund Conference and the ICI General Membership, Compliance & Operations Conference
The workshop features discussions on topics selected from Conference Agendas
· SEC Regulatory & Exam Priorities
· Advertising & Marketing Rules for Funds and Advisers
· A Risk Management Approach to Your Compliance Program
· Managing Conflicts of Interest – SEC Expectations
· Lightning Round – 5 minutes each on 5 high profile topics
Program is FREE to GCMFA members
$100 non-member fee
To register, reply via email or fax the 13-06-11 Compliance & Operations Workshop Flyer and Reg to 513-939-2653.
Deadline for Reservations: June 3, 2013.