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March 18, 2009 - March 20, 2009
Ascendant Compliance Management Conference Bridging the Gap: How to Implement Compliance Theory into Business Practice
Sutherland Partner Brian L. Rubin is speaking at an Ascendant Compliance Management conference, "Bridging the Gap: How to Implement Compliance Theory into Business Practice," March 18-20, 2009, at The Ritz-Carlton, New Orleans in New Orleans, Louisiana. Brian is part of a panel discussion on "The New Regulation S-P – Safeguarding Provisions Enhanced." The presentation will include: SEC Rule-Making Will Change Privacy Program Requirements; Elements of the New Rule; Issues with Departing Employees; and Key Issues to Address.
The conference is dedicated to the advancement of compliance professionals in the investment management industry. The program will follow all of the latest trends in SEC examinations, disclosure requirements, fundamentals of compliance program development, trading and soft dollar issues, books and records (including e-mail retention), marketing and advertising, and forensic testing, among other topics.
For more information and to register for this event, click here.