Current Compliance & Regulatory Issues

Denver 1940 Act Group

03/03/2014 05:00 p.m. - 08:00 p.m.

Securities Enforcement

Inn at Cherry Creek
233 Clayton Street
Denver, CO 80206

Sponsorship

Issues Covered Included:

  • Valuation 
  • Changing Face of Enforcement 
  • Payments for Distribution in Guise 
  • Conflicts of Interest

Panelists: 

  • Brian Hoffman, Of Counsel, Morrison & Foerster LLP 
  • David Kowalski, Chief Compliance Officer, Janus 
  • Julie Lutz, Director, Securities and Exchange Commission

Morrison & Foerster co-sponsored the event with Independence Capital Asset Partners LLC.

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