Compliance & Legal Society Denver Regional Seminar

SIFMA Regional Seminar 2016


Investment Management

Charles Schwab
9800 Schwab Way
Lone Tree, Colorado 80124

Kelley A. Howes

Speaking Engagement

SIFMA’s C&L regional seminar will take place on Thursday, January 28th, 2016 in Denver, Colorado. The event will be held at the Charles Schwab campus and will be centered on providing an inside look at the current topics impacting the compliance and legal industry. Of Counsel Kelley Howes will be a panelist on the session “Wearing Two Hats: The Perils of Being a Dual Registrant.”

Additional seminar discussion topics will include:

  • SEC and FINRA Exam Priorities and Enforcement Trends;
  • Addressing the Ever Expanding Expectations of AML Programs;
  • Navigating Senior Investor Issues; and
  • Litigation and Arbitration Trends and Developments.

For more information or to register, please click here.


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