Events

Please look for JLG team members at the following up-coming conferences!

2010 Conferences

November 1-2, 2010 - NSCP National Meeting (Baltimore, MD) - Due Diligence on Sub-advisers, Vendors, and New Products and Addressing New Issues in Regulatory Examinations (Small Firms)

October 27, 2010 - FRA Hedge Fund Registration Master Class (New York, NY) - The Actual Process of Registration: A Practical Guide and Policies and Procedures Part II - Key Components and the Necessity for a Dynamic Approach

September 16-17, 2010 - FRA Marketing & Advertising Compliance Forum (New York, NY) - Use of Social Media and Electronic Communications in Marketing & Advertising: Leveraging the Internet to Grow Your Business and Responding to RFPs: Best Practices and Guidelines to Ensure Compliance Procedures

June 16, 2010 - Charles Schwab Conference (Chicago, IL) - The New Era of Risk Management: How to Protect Yourself and Your Firm

April 27, 2010 - NICSA Conference (Los Angeles, CA) - The Ever-Changing Compliance and Regulatory World

March 25-26, 2010 - IA Week Best Practices Summit (Washington, D.C.) - Understanding the Potential and Limits of Advertising & Marketing

March 10, 2010 - Charles Schwab Conference (Beverly Hills, CA) - The Amended Custody Rule & Other Regulatory Impacts on Advisors

March 10, 2010 - Ascendant Conference (Santa Monica, CA) - The Study of RFPs and Due Diligence Questionnaires & Processes and The Destruction of Records: Risks and Rewards

February 25-26, 2010 - IAA & ACA Compliance Forum (Arlington, VA) - Risk Management Workshop for Small Firms

February 23, 2010 - Charles Schwab Conference (San Francisco, CA) - The New Era of Risk Management: How to Protect Yourself and Your Firm

February 22, 2010 - NSCP Regional Meeting (San Francisco, CA) - Dialogue with Area Regulators

February 1, 2010 - FRA Investment Advisor Compliance Conference (New York, NY) - Advertising & Marketing Compliance and Examining Pay-to-Play Regulatory & Enforcement Issues 

2009 Conferences

November 3-6, 2009 - NRS Twenty-fourth Annual Investment Adviser and Broker-Dealer Compliance Conference (Las Vegas, NV) - Adviser Issues in the Institutional and Retirement Marketplace

October 4-7, 2009 - National Society of Compliance Professionals (NSCP) National Meeting (Philadelphia, PA) - Compliance Programs (Large Firms) and IA Regulatory Panel (moderator)

September 21, 2009 - IA Compliance Fall Conference (Philadelphia, PA) - Staying on the Right Side of the Compliance Line with Performance Advertising and Marketing and Solutions for Your Trickiest Compliance Problems

September 15, 2009 - Professional Association for Investment Communication Resources (PAICR) (New York, NY) - Taking Action in Uncertain Times- Compliance Panel

March 18-20, 2009 - Ascendant Compliance Conference (New Orleans, LA) What to Know about Your Employees and Vendors; Marketing Workshop  

March 16, 2009 - National Society of Compliance Professionals (NSCP) West Coast Regional Meeting (Los Angeles, CA) - Dialogue with Area Regulators 

2008 Conferences

October 20-22, 2008 - National Society of Compliance Professionals (NSCP) 2008 National Membership Meeting (Philadelphia, PA) - Investment Adviser Compliance Overview (for Small Firms); Privacy Considerations: Regulation S-P Amendments

October 14, 2008 - IA Week Webinar - Performance Advertising: Tips to Avoid Compliance Lapses & Web Site Do's and Don'ts

September 23, 2008 - IA Week - IA Compliance Fall Conference 2008 (Philadelphia, PA) - New Form ADV: Part 2 Most Difficult Disclosure Issues Revealed

September 17-19, 2008 - Ascendant Compliance Conference - The Integration of Operations and Business Management (San Diego, CA) - Conducting an Effective Annual Review; The New Enhanced Regulation S-P

August 12, 2008 - IA Week Webinar - How to Survive & Thrive During your Next SEC Exam

May 16-17, 2008 - Financial Research Associates (FRA) - The Fourth Annual Fund of Funds Business Operations Forum (New York, NY) - 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 (Miami, FL) - Form ADV, Dramatic Change Ahead: The Evolution of New Part 2 and Public Disclosure; Wrap Fee Accounts: Understanding their Unique Compliance Challenges

April 9-11, 2008 - IMS National Conference - 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