Ken Joseph to Provide Insights on Regulatory Compliance and SEC Enforcement at the Annual Commitment to Compliance Conference

Location The Inn at Penn, Philadelphia, PA

Calendar September 17, 2018

Ken Joseph, Managing Director and Head of Disputes in the Governance, Risk, Investigations and Disputes practice at Duff & Phelps is speaking on “A Critical First Look at Hot Regulatory Changes Coming out of Washington” at IA Watch’s 18th Annual Commitment to Compliance conference 2018.

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As the regulatory landscape continues to change for advisers, the task for compliance officers remains formidable. Against this backdrop, a full five-member SEC Commission takes steps to make its mark with new exam priorities and focus areas. The panel will analyze all of the latest actions coming out of Washington to give insights into what’s coming and how to prepare.

Schedule: 9:00 a.m. – 10:00 a.m. (EST)

Panel includes:

  • Ken Joseph, Managing Director and Head of Disputes, Duff & Phelps, New York
  • Kelly Gibson, Associate Regional Director for Enforcement, Securities and Exchange Commission, Philadelphia
  • Deborah Ann Hammalian, CCO, Voya Investment Management, New York
  • Dan Kahl, General Counsel, SEC Office of Compliance Inspections and Examinations, Washington, D.C.
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