Juggling Compliance Risks – Maintaining the Balance

NSCP Spring Conference

04/18/2016 07:30 a.m. - 05:30 p.m.

Investment Management

Embassy Suites Denver Stapleton
4444 Havana Street
Denver, CO 80239

Kelley A. Howes

Speaking Engagement

This conference will address current compliance issues, risks and compliance officer liability. Attendees will receive helpful tips and tools for managing regulatory and business risks, as well as recommendations for maintaining a well-rounded compliance program.

Morrison & Foerster Of Counsel Kelley Howes will be speaking on a panel entitled “Conflicts of Interest - The Elephant in the Room.” Topics will include:

  • Identify and understand conflicts within the firm and governance structures;
  • Developing a compliance and ethics program to address the conflicts;
  • Providing full and fair disclosure of material facts and conflicts of interest; and
  • Establish standards & procedures to prevent, detect and mitigate.


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