Please look for JLG team members at the following up-coming conferences!
- May 16-17, 2008 -Financial Research Associates (FRA), The Fourth Annual Fund of Funds Business
Operations Forum (NYC) - Managing and Surviving an SEC Review; Understanding Marketing and Advertising
Compliance - an Overview
- May 12-15, 2008 - National Regulatory Services (NRS), 23rd Annual Spring Compliance
Conference - Form ADV, Dramatic Change Ahead: The Evolution of New Part 2 and Public Disclosure
- April 9-11, 2008 - IMS National Conference (IMS) - The Next Step in Compliance: The Integration of Operations
& Business Management (New Orleans, LA) - Planning and Documenting the Annual Review; Insights into New
Regulatory Developments: ADV Part 2 and Other Disclosure Developments
- March 27-28, 2008 - Financial Research Associates (FRA) - Marketing & Advertising Compliance Forum
(New York, NY) - Cross-Channel Marketing Compliance and Managing Conflict of Interest within a Multi-Line
Business
- January 14, 2008 - National Society of Compliance Professionals (NSCP) West Coast Regional
Membership Meeting (San Francisco, CA) - Safeguarding and Protecting Confidential Client Information
Past conferences that JLG members have presented at include the following:
- November 29-30, 2007 - FRA - Dual Registrant Symposium (New York, NY) - Defining the Supervision
Obligation and the Differences Between Broker-Dealers and Investment Advisers; and CCO Best
Practices and Compliance Program Issues for the Dually Registered
- November 15, 2007 - CFA Society of Los Angeles (webinar) - How an SEC Exam is Performed
- October 23-26, 2007 - NRS - 22nd Annual Fall Compliance Conference (Huntington Beach, CA) -
Advertising Compliance: SEC Performance and GIPS Guide
- October 17-19, 2007 - NSCP - National Membership Meeting (Washington DC) - IA Compliance
for Beginners (Elementary Level); and IA – Wrap-Fee Accounts: Managed Accounts and
Multi-Discipline Portfolios
- October 2-3, 2007 – IMS Consulting (Napa Valley, CA) - IA Performance Advertising and Marketing
- September 24-25, 2007 - FRA - 3rd Annual Marketing & Advertising Compliance Forum (New York, NY) -
Cross-Channel Marketing Compliance and Managing Conflicts of Interest within a Multi-Line Business;
and How to Conduct the Annual Compliance Review
For more information about services, please Contact Us at (619) 298-2880.
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