If you are a member of the mutual fund/investment adviser community, this program is a "must attend." This program is co-sponsored by PBI, the Philadelphia Bar Association Business Law Section Investment Companies Committee and the Philadelphia Compliance Roundtable. This session presents a unique opportunity for dialogue among attorneys in the mutual fund/investment adviser community, SEC staff members and compliance officers. Last year we gave you an update on the status of the SEC's compliance program requirements, sharing practical tips for implementing an effective compliance program to ensure prevention, detection and correction of securities law violations. In this program, we will explore strategies for monitoring and testing compliance programs and designing and conducting a compliance review, drawing on recent experiences of compliance officers and consultants with various strategies and the views of SEC staff from examinations of compliance programs.
