Recent Events


10-18-2016

    IA Lab - When is an Advertisement Deemed to be Misleading?

    - Vista360, Co-Panelist with Jennifer Lammers, Galliard Capital Management

5-2-2016

    Testing - Proving You Are Compliant

    - Vista360, Co-Panelist with Jeannie Lewis, William Blair & Company, L.L.C. and Jim Papagiannis, Incapital LLC

5-7-2015

    Keeping Communications with the Public Compliant

    - Vista360, Co-Panelist with Joe McDermott, Keeley Asset Management Corp.

10-22-2014

    NSCP National Membership Meeting – National Harbor, MD

    Regulation of Electronic and Social Media Communications in 2014

    - Vista360, Co-Panelist

10-20-2014

    NSCP National Membership Meeting – National Harbor, MD

    The Science of Compliance

    - Vista360, Co-Panelist with Steven Farmer, Mesirow Advanced Strategies, Inc.

6-13-2014

    U.S. Bancorp Fund Services – Client Conference – Lake Geneva, WI

    CCO Roundtables

    - Vista360, Co-facilitators

5-8-2014

    NSCP – Midwest Regional Meeting – Chicago, IL

    Sub-Adviser Due Diligence

    - Vista360, Co-Panelist with Allison Fraser, Northern Trust

4-10-2014

    Chicago Compliance Group Spring Meeting – Chicago, IL

    The Science of Compliance

    - Vista360, Co-Panelists with Steve Farmer, Mesirow Advanced Strategies, Inc.

4-2-2014


10-21-2013

    NSCP National Membership Meeting – Washington, D.C.

    Oversight of Sub-Advisers

    - Vista360, Co-Panelist with Alan Herzog, Edward Jones and Michael McVoy, U.S. Bancorp Fund Services

10-3-2013

    Schwab/Compliance11 – Compliance Solutions National Conference – Chicago, IL

    Compliance Officer Liability: How to Protect Yourself

    - Vista360, Co-Panelist with Catherine Makstenieks, Duff & Phelps and Millie Guzman, Morgan Stanley

6-14-2013

    U.S. Bancorp Fund Services – All-Star Client Conference – Fontana, WI

    CCO Roundtables

    - Vista360, Industry Experts

6-12-2013

    U.S. Bancorp Fund Services – All-Star Client Conference – Fontana, WI

    Where’s the Risk?

    - Vista360, Panelist

4-22-2013

    NSCP – Midwest Regional Meeting – Chicago, IL

    IA- Regulatory Exams

    - Vista360, Co-panelist

11-12-2012

    Small Funds Network Webinar

    Topics and Trends in Advisor & Investment Compliance

    - Vista360, Co-Presenter with Stephanie Hanayik, Sequoia Financial Advisors & Marcy Conklin, Cohen Funds Audit Services

10-24-2012

    NSCP National Membership Meeting – Washington, D.C.

    Due Diligence of Compliance

    - Vista360, Co-Panelist with Michael McVoy, U.S. Bancorp Fund Services & Andrew Strnad, Quasar Distributors

10-23-2012

    NSCP National Membership Meeting – Washington, D.C.

    SEC vs. GIPSฎ Requirements – Bridging the Gap

    - Vista360, Co-Panelist with Barbara Brooke Manning, ClearBridge Advisors & Karyn Vincent, Vincent Performance Services

10-5-2012

    Compliance11 National User Conference – Chicago, IL

    Current Events Compliance Panel

    - Vista360, Co-panelist

9-24-2012

    IA Compliance Fall Conference 2012 – Philadelphia, PA

    SEC Exams: Top Focus Areas and Best Practices Honed from Recent Encounters with Examiners

    - Vista360, Co-Panelist with Andrew Bowden, Associate Director, SEC OCIE; John Walsh, Sutherland; and David Prince, Stephens Investment Management Group

April-May 2012

    Vista360 and Vincent Performance Services Presentation

    SEC vs. GIPS – Bridging the Gap

    Vista360 and Karyn Vincent, co-presenters

    • 4-24-2012 – San Francisco
    • 5-17-2012 – New York
    • 5-22-2012 – Milwaukee
    • 5-23-2012 – Chicago

4-2-2012

    NSCP - Midwest Regional Meeting – Chicago

    IA/PF - Ethics, Compliance and Risk in Today’s World

    - Vista360, Co-Panelist with Christopher Jackson, Calamos Investments

4-3-2012

    NSCP - Midwest Regional Meeting – Labs - Chicago

    IA/PF: Gifts, Entertainment, Political Contributions, Charitable Contributions, Lobbyist Requirements

    - Vista360, Co-Panelist with Patricia Flynn, Intech and Joseph McDermott, Keeley Asset Management Cor.

11-15-2011

    IA Watch

    SEC Exams: Proven-in-Practice Guidance to Survive and Thrive Before, During & After an Exam

    - Vista360, Panelist

10-18-2011

    NSCP - National Meeting - Baltimore, MD

    Screening and Monitoring of Third Party Asset Managers

    - Vista360, Panelist

10-18-2011

    NSCP - National Meeting - Baltimore, MD

    Due Diligence on Vendors

    - Vista360, Panelist

6-15-2011

    2011 USBFS Client Conference - Milwaukee, WI

    Regulatory Panel

    - Vista360, Panelist

6-8-2011

    Wisconsin Mutual Funds Group - Milwaukee, WI

    Sub-Adviser and Service Provider Due Diligence Panel

    - Vista360, Panelist

6-7-2011

    Sub-Adviser and Service Provider Due Diligence Forum - New York, NY

    Practical Advice and Guidance

    - Vista360, Speakers

5-18-2011

    Regulatory Issues Update

    - Vista360, Speaker

5-11-2011

    Thompson Hine LLP - The Changing Landscape for Investment Advisers - Cincinnati, OH

    Keeping up With the SEC: Enforcement and Inspections

    - Vista360, Panelist

4-12-2011

    NSCP - Midwest Regional Meeting - Labs - Chicago

    IA/HF: Managing Conflicts of Interest

    - Vista360, Speaker

4-11-2011

    NSCP - Midwest Regional Meeting - Chicago

    HF Examinations Process

    - Vista360, Panelist

 

 

 

 

 

 

 

 

 

 

 

   
 
© 2013 Vista360, LLC. All Rights Reserved.