Legal & Compliance Seminar

June 21, 2017 | Morgan Lewis, New York

Evan Charkes, Managing Director & Associate General Counsel, Global Wealth & Investment Management, Bank of America Merrill Lynch
Nina Shenker, Managing Director, JP Morgan

MMI’s one-day Legal & Compliance Seminar brings together senior business executives, chief compliance officers, and their legal counsel to discuss the most challenging issues facing the investment advisory solutions industry today.

This year’s event highlights such topics as navigating amid the lingering  DOL rule uncertainty and trends in SEC examinations and enforcements. With important regulatory issues and changes taking place in 2017, the seminar is a must attend event. Space is limited to 75 seats and this conference sells out quickly each year.

This is an opportunity to connect with and learn from some of the best regulatory and compliance executives in our industry.

To encourage an interactive program, no media will attend.

Additional Information

Agenda and Session Highlights

Agenda Coming Soon

Session Highlights

  • SEC examinations and enforcement with key takeaways from recent exam and enforcement sweeps
  • Managed accounts post-DOL rule
  • Recent regulatory reform
  • Governance and compliance in a climate of emerging technology, cybersecurity, and big data
  • Back to basics - taking a step back to essential principles of supervision within firms and across service providers 

Registration Fee

The standard Seminar Registration Fee is $650.

An Early Registration Fee of $575 is available through May 15, 2017.

Volume discount for multiple attendees from the same firm:
Once two attendees from your firm have registered for the Seminar, any new attendees are eligible for a 10% discount from the Standard Registration Fee. Contact MMI headquarters at (646) 868-8500 for details and the special code to use during registration.

Cancellations: No refunds will be granted for cancellations after 5:00pm ET on Friday, June 9th. Substitutions are permitted. Please notify MMI at (646) 868-8516.

CLE Credits

CLE credits will be available for New York and selected jurisdictions.


Attendee Registration:
Nia Mack
(646) 868-8506

Speaker Registration:
Samantha Lustig
(646) 868-8516

Fees & Billing:
(646) 868-8516

2017 Seminar Partner

  • Morgan Lewis