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NAMA 2019 Compliance Roundtable
Thursday, June 20, 2019, 1:00 PM to Friday, June 21, 2019, 1:30 PM CDT
Category: Events

NAMA'S 2019 COMPLIANCE ROUNDTABLE

NAMA will be holding its annual Compliance Roundtable, June 20-21 in Minneapolis.  The Roundtable provides MA Firm Presidents, CCOs, and compliance staff the opportunity to meet and discuss various matters related to SEC and MSRB Rule compliance and firm practices.

The meeting will be held in CONFERENCE ROOM B on the Lower Level at the RBC Plaza Building – 60 South 6th Street.  Meeting times will be 1:00 – 5:00 on Thursday, June 20, and 8:30 – 1:30 on Friday, June 21.  Arrangements for a Dutch treat dinner will be made for Thursday evening (or you may have dinner on your own – no business will occur at the dinner).

A limited amount of hotel rooms have been secured at the Westin Minneapolis, which is adjacent to the meeting location.  The rate is $199++/night.  Please use the link below to make a reservation.

The registration fee for the event is $200 and includes meeting materials, light lunches on Thursday and Friday, and continental breakfast Friday. MEETING IS SPACE IS VERY LIMITED.  Please do not register more than two individuals from your firm.

Topics that will be discussed during the meeting include:

  • Update on NAMA Resources and MSRB Rulemaking
  • Implementation of MSRB Rule G-40
  • Firm Supervisory Procedures
  • MA Contracts and Development of Model Language
  • Understanding, Identifying and Addressing Conflicts of Interests
  • Examinations and Enforcement Actions
  • Break-out sessions:  Large Firm Compliance Discussion and Small Firm Compliance Discussion
  • Other Issues

If you have any questions, please contact Susan Gaffney at [email protected].

Link to NAMA Meeting registration – NAMA 2019 Compliance Roundtable - June 20-21

Link to Hotel registration page - https://www.marriott.com/event-reservations/reservation-link.mi?id=1554737124180&key=GRP&app=resvlink