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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

Roundtable Compliance Session    Save the Date
Thursday, October 25, 2018
Grand Bohemian Hotel
Charleston, SC

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

Grand Bohemian Hotel

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

Meeting Room


Roundtable Compliance Session    Agenda
Thursday, October 20, 2016
Grand Bohemian Hotel
Charleston, SC

In 2016 Compass hosted another focused compliance roundtable session on October 20 in Charleston, South Carolina at the Grand Bohemian hotel on Wentworth Street. Participants included both clients of ours and non-client guests. The session was designed to combine general instruction on pertinent regulatory topics with focused interactive peer interaction on practical applications and procedures “back at the office”. The peer panel discussion worked through several specific topics of interest to all participants with an emphasis on best practices in areas where compliance and operations overlap plus practical tips and recommendations on implementation. Our intention was for our participants to come away from this session with knowledge, practical guidance, new peer contacts plus some good forms and ideas to improve procedures and documentation. Here are some comments from participants:

“Perfect and relevant”
“The discussion is great”
"Enjoyed the peer exchange”
“Don’t change a thing”
“Love the small group format”

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

Grand Bohemian Hotel

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

Meeting Room


Roundtable Compliance Session    Agenda
October 23, 2014
The Mills House
Charleston, SC

In 2014 Compass instituted a focused yet informal compliance roundtable session which was held on October 23 in Charleston, South Carolina. Participants included both clients of ours and non-clients. The session was designed to combine general instruction on pertinent regulatory topics while also incorporating an interactive peer group panel discussion for practical application “back at the office”. The panel discussion worked through several specific topics of interest to all participants with an emphasis on best practices in areas of compliance and operations overlap as well as practical tips and recommendations on implementation. Our intention was for our participants to come away from this session with knowledge, practical guidance, new peer contacts plus some good forms and ideas to improve your procedures and documentation. Here are some comments from participants:

“Excellent!”
“Loved the small group and informal format of the meeting!”
“Very interactive, informal and friendly”
“Discussion was excellent which was probably a result of (small) group size”
“Small group is very helpful b/c of interaction between group during discussions”
“Great event, so would be willing to travel further (to attend)”
“Good broad-based topics, knowledgeable speakers”
“Definitely worth the time, would attend again”
“Focus on cybersecurity was outstanding“

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

Mills House Hotel

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

Mills House Courtyard

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