Vedder Thinking | Events Deborah Eades and Jacob Tiedt to Present at Chicago Investment Adviser Compliance Symposium 2017
July 25-27, 2017
Shareholder Deborah Bielicke Eades and associate Jacob Tiedt will present at the Chicago Investment Adviser Compliance Symposium held at the University of Chicago’s Booth School of Business from July 25 to July 27.
The three days of interactive compliance education are led by seasoned legal and compliance industry professionals, who will detail each of the Advisers Act’s key sections, share insight, perspective and practical advice about implementing strong internal controls and much more. Through group discussions and interactive sessions, participants will gain an understanding of professional ethics, trading compliance and SEC examination as well.
Ms. Eades and Mr. Tiedt will co-lead, “Professional Ethics: Ethical Decision-Making for Compliance Professionals” on Thursday, July 27. This practical and interactive ethics workshop will use scenario-based training and group discussion to engage attendees in analyzing and responding to ethical issues confronted by compliance professionals and various members of the firm.
Ms. Eades will then participate on a panel which will present “SEC Examination and Enforcement Update for Investment Advisers.” This panel will address the SEC’s examination priorities for 2017, the more rigorous pre-exam due-diligence and aggressive examinations, and steps firms can take before, during and after an exam to improve exam outcomes.
To learn more about the Chicago Investment Adviser Compliance Symposium, please click here.