Shareholders Deborah Bielicke Eades and Joseph Mannon, along with associate Jacob Tiedt will present at the Chicago Investment Adviser Compliance Symposium held at the University of Chicago’s Booth School of Business from July 19 to July 21.

The three days of interactive compliance education will cover key sections of the Advisers Act. Seasoned legal and compliance industry professionals will share insight, perspective and practical advice about implementing strong internal controls for a firm’s compliance program and will highlight professional ethics, trading compliance and SEC examination through group discussions.

Ms. Eades’ first session, “Books and Records Requirements for Investment Advisers” will cover the basics of the SEC books and records rule and incorporate an overview of the SEC’s expectations regarding non-required records in the SEC examination document request list. Mr. Tiedt will join her in presenting “Professional Ethics: Ethical Decision-Making for Compliance Professionals”, which will highlight the differences between ethics and compliance and provide a framework for analyzing ethical considerations.

Mr. Mannon will present “Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers.” He will discuss the evolution of the adviser’s fiduciary duty and how it impacts advisory operations while also addressing some of the more expansive SEC rules that define the parameters of an adviser’s fiduciary duties.

To learn more about the Chicago Investment Adviser Compliance Symposium, please click here.