The 2017 Compliance &
Operations Workshop
Tuesday, June 6, 2017
3:30 p.m. – 5:00 p.m. Workshop
The University Club
401 E. 4th St.
Cincinnati, Ohio 45202
Recapping the Investment Management Conference and ICI Compliance & Operations Conference
Topics Include:
- Update / Implementation Discussion on Liquidity Mgt. Rules for Mutual Funds & ETFs
- Third-party Due Diligence Reviews and Sub-advisory Oversight
- Regulatory Update and Focus. What to Expect in a SEC Examination
- Recent SEC Orders – Valuation & Distribution
- Cybersecurity Update
- Technology Disruptors
- Questions from Attendees
Guest Panelists:
- Thomas Knipper – Vice President & Chief Compliance Officer, Ameritas Investment Partners, Audit Committee Chair, Investment Managers Series Trust II
- Martin Dean- Vice President, Director of Fund Compliance, Ultimus Fund Solutions
- Cassandra Borchers – Partner, Thompson Hine
Please forward this notice to other associates who may benefit from participation (i.e. portfolio management, call center & transfer agent teams, marketing department, etc.)
The Seminar is open to all employees in your organization, a benefit of your membership and participation in the Greater Cincinnati Mutual Funds Association.
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: May 30, 2017
Click here for 17-06-06 Compliance Operations Workshop Flyer Register via email or fax the Registration Form to 513-939-2653 by May 30, 2017.