Education Session No. 251
Staying Inside the Lines: Understanding the NEW Enforcement Rules from the SEC
DATE: Wednesday, April 6th, 2011
SPEAKERS:
James Capezzuto, Attorney, SEC Investment Management Compliance and Examinations Division, New York
Lisa Conrad, Chief Compliance Officer and Deputy GC, Angelo, Gordon & Co.
Gary DeWaal, Group General Counsel, Newedge USA, LLC
Bruce Karpati, Co-chief, Asset Managemet Unit, SEC Enforcement Division, New York
Stephen Crimmins, Moderator, Partner, K+L Gates LLP, Washington
HOST: K&L Gates
LOCATION: 599 Lexington Avenue (between 52nd & 53rd Str)
New York, NY 10022-6030