District 8 - Chicago - Half-Day Compliance Bootcamp Agenda
Chicago, IL
June 4, 2019
Agenda
8:30 a.m. – 9:00 a.m.
Registration
- Continental Breakfast
9:00 a.m. – 9:15 a.m.
Introduction
- Welcome Remarks
9:15 a.m. – 10:45 a.m.
Session 1 – Vetting New Products and Supervising Complex Products
- Review and discuss sound practices for vetting new and complex products
- Discuss different types of complex products
- Discuss supervisory obligations
10:45 a.m. – 11:00 a.m.
Networking Break
11:00 a.m. – 12:00 p.m.
Session 2 – Outside Business Activities and Private Securities Transactions
- Review key requirements of the rules related to outside business activities and private securities transactions
- Discuss considerations for compliance
12:00 p.m. – 12:30 p.m.
Lunch and Networking Opportunity
12:30 p.m. - 1:30 p.m.
Session 2 – Outside Business Activities and Private Securities Transactions (cont’d)
- Discuss processes for reviewing current outside business activities and private securities transactions
- Learn about proposed Rule 3290
1:30 p.m.
Adjourn