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Compass Compliance Services, LLC Michelle Kennedy Michael Henry SEC Compliance Reviews
Compass Compliance Services, LLC Michelle Kennedy Michael Henry SEC Compliance Reviews
Compass Compliance Services, LLC Michelle Kennedy Michael Henry SEC Compliance Reviews

Speaking Engagements


EVENT DATE PLACE TOPIC / PANEL
IAA Webcast Feb 2018 Webcast Form ADV Part 1A Amendments
Compass hosted conference call Jan 2018 Conf Call Andrew Sachs, Partner with Kilpatrick Townsend & Stockton law firm presented on DOL Fiduciary rule
AUG Webinar Dec 2017 Webcast ADV 1 Amendments
IAA Compliance Workshop Nov 2017 Atlanta, GA Various Topics
AUG the Exchange Roundtable Oct 2017 Louisville, KY Various Topics
AUG the Exchange Roundtable Oct 2017 Chicago, IL Various Topics
AUG the Exchange Regional Meeting Oct 2017 Chicago, IL Various Topics
Salentica July 2017 Webcast Exam Priorities and Recent Exam Experiences
AUG the Exchange Regional Meeting June 2017 Charlotte, NC Recent Exam Experiences
AUG the Exchange Regional Meeting June 2017 Atlanta, GA Recent Exam Experiences
Compass hosted conference call June 2017 Conf Call Andrew Sachs, Partner with Kilpatrick Townsend & Stockton law firm presented on DOL Fiduciary rule
AUG the Exchange National Meeting April 2017 Nashville, TN SEC Exam Protocol
Compliance Group April 2017 Phoenix, AZ Custody, Recent Exam Experiences, Exam Priorities
AUG the Exchange Roundtable Feb 2017 Boston, MA Custody, Exam Priorities, Top Deficiences, ADV I Amendments
AUG the Exchange Regional Meeting Feb 2017 Boston, MA Recent Exam Experiences
Compass hosted conference call Dec 2016 Conf Call Andrew Sachs, Partner with Kilpatrick Townsend & Stockton law firm presented on DOL Fiduciary rule
Investment Advisor Association (IAA) Apr 2016 Webcast Tips for Managing Compliance Testing and the Annual Review
Advent User Group (AUG) National Meeting Sep 2015 Chicago, IL SEC Exams
Advent User Group (AUG) Regional Meeting Aug 2015 Greensboro, NC SEC Exams
Advent User Group (AUG) Regional Meeting Oct 2014 Chicago, IL Custody
Advent User Group (AUG) Regional Meeting May 2014 Boston, MA Custody
Ashland Partners & Co Feb 2014 Webcast SEC Exams
Advent User Group (AUG)
Regional Meeting
Nov 2013 Boston, MA SEC Exams
Ashland Partners & Co Nov 2013 Webcast Identity Theft Prevention
Compass Compliance Services/Professional Compliance Assistance Webcast Oct 2013 Webcast Identity Theft Prevention
IA Watch Compliance 101 Conference Oct 2013 Washington,
DC
Recordkeeping & Document Retention Responsibilities
Ashland Client Conference June 2013 Jacksonville,
OR
SEC Exams
Advent User Group (AUG) Regional Meeting May 2013 Chicago, IL SEC Exams
IA Week Webcast May 2013 Webcast SEC Exams
IA Week Spring Conference Mar 2013 Washington, DC SEC Exams
Advent User Group (AUG) Regional Meeting Feb 2013 Atlanta,
GA
SEC Exams
IA Week Webcast Oct 2012 Webcast SEC Exams
Phoenix Compliance Roundtable Sep 2012 Phoenix, AZ SEC Exams
IA Week Webcast June 2012 Webcast Advertising, Marketing & Social Media
Advent User Group (AUG) Regional Meeting May 2012 Boston, MA SEC examinations; Pay to Play; Social Media; Whistleblower procedures
Phoenix Compliance Roundtable April 2012 Phoenix, AZ Performance Advertising
Advent User Group (AUG) Regional Meeting March 2012 Boca Raton, FL Compliance Environment / Using Advent products to assist with compliance monitoring

Compass Compliance Services does not provide legal, tax, accounting or financial services.