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mmi conference

2023 MMI Legal & Compliance Seminar

October 26 , 2023

New York, NY | Offices of Morgan Lewis | 8:30 AM - 6:00 PM ET

CE Credits

Charged admission

Open to Members only

Press prohibited

CLE Credits
The Seminar program is being submitted by Morgan Lewis for CLE credits for New York and selected jurisdictions.


Jessica Howell, Senior Counsel, MFS Investment Management
Todd Cook, Managing Director & Associate General Counsel, JP Morgan

The MMI Legal & Compliance Seminar is back and in person for the first time in over four years!

The investment advisory industry is facing what has been described as a tsunami of regulatory changes. The impact of these developments will be far-reaching. Join MMI and our Legal & Compliance Community on October 26th to gain critical insights and perspective to navigate the rapidly evolving regulatory landscape. This year’s MMI Legal & Compliance Seminar is one that you can’t afford to miss.

During this single-day conference – tailored to senior business executives, chief compliance officers, and their legal advisors – a host of business leaders and regulatory experts will unpack the important issues you need to be on top of.

Session highlights include:  

  • Survey of Current Developments and Pending SEC Proposals 
  • Business Developments in the Managed Accounts Arena 
  • Navigating the Complexities of ESG 
  • SEC Exams and Enforcement Focus on Managed Accounts 
  • Current Marketing Rule Issues with Managed Accounts 
  • Retirement Account Developments 
  • Evolving SEC Expectations with Retail Advice Offerings 
  • The Evolving Technology Landscape – AI, cybersecurity, electronic delivery, etc.

 Attendance is limited and restricted to MMI Members. This event is closed to the media.


Agenda (Click to Expand Agenda)

Partners & Sponsors

MMI Diversity, Equity & Inclusion Pioneer Sponsor

Seminar Host

Registration Fees

Type Registration Date Member Fee
Advance Launch - October 6 $795.00
Standard October 7 - October 25 $895.00

Leadership Pathway &
Executive IQ Program Participants

Launch - October 25 $716.00

A fee of $100 will be added to registrations processed on-site.

  • A Volume Discount of 10% off the Standard fee applies once 2 registrants from the same firm register for the Seminar at the prevailing full price. Only full-price registrations are considered in determining eligibility for the Volume Discount. Email for the volume discount code before registering. 
  • Members of the 2022-2023 Leadership Pathway classes and 2022-2023 Executive IQ cohorts are eligible for a 20% discount off the standard registration fee. Email for the appropriate discount code before registering.

Please contact MMI at with any questions. 


Cancellation/Transfer Policy

MMI Conference Code of Conduct/Antitrust Guidelines and Compliance Policy

Health and Safety Protocols


Attendee Registration: or (646)-868-8500

Speaker Registration:
Lauryn Hughes, or (646) 868-8510

Fees & Billing: or (646)-868-8500