(Washington, D.C.) Financial Services attorney, Karen Aspinall will bring her considerable expertise in SEC regulation and compliance to the national 2024 Investment Adviser Compliance Conference in March. She, along with members of the SEC’s Divisions of Investment Management, Examinations and Enforcement, top general counsels, and compliance officers will present Effective Strategies and Best Practices March 6 – 8. Aspinall will moderate a panel aimed at educating smaller and mid-sized investment advisers about best practices and insights for initial and ongoing due diligence, risk management, and monitoring of outsourcing by investment advisers. The panel will also discuss the latest SEC proposal on outsourcing of “covered functions” to service providers.
Aspinall says, “I am thrilled to be a presenter at the 2024 IAA Compliance Conference and look forward to gaining new insights from esteemed industry colleagues and regulators regarding the important legal and compliance challenges facing investment advisers.”
Karen Aspinall is an authority on regulatory compliance matters with over 20 years of in-house and AmLaw experience. She is also a skilled contract negotiator with hundreds of agreements under her belt, including one transaction worth more than $65B in AUM.
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