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Regulatory Challenges for Chief Compliance Officers

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Pillsbury will be hosting back-to-back programs this month on compliance and regulatory challenges facing Chief Compliance Officers.  The first program will be held on February 27, 2013 at Pillsbury’s San Francisco office.  The second program will be held on February 28, 2013 at Pillsbury’s Los Angeles office.  Each program will begin with a brief overview of the recent trend involving the SEC’s referral of enforcement matters against fund managers to the U.S. Department of Justice for criminal prosecution, which will be followed by a panel discussion on the following topics:

  • Common compliance deficiencies and other “hot button” issues for SEC examiners
  • The use of technology and service providers to simplify Chief Compliance Officers’ obligations and minimize liability
  • Best practices in implementing a Code of Ethics (COE), including what should be in the COE and how employee activity should be monitored
  • The implications of the U.S. Jumpstart Our Business Startups Act (JOBS Act) on compliance procedures and policies

We hope you can join us.

To register for the San Francisco office event, please click HERE.

To register for the Los Angeles office event, please click HERE.