Compliance - The Gift That Keeps Giving
Neala D. Moore - Sapphire Compliance Management, LLC
Powered by: Per Stirling Capital Management
During this session, we'll cover SEC hot topics including recent rulemaking, risk alerts, enforcement cases, and examination document request lists. Learning objectives include:
- Reviewing proposed rulemaking and the steps to prepare for adoption.
- Discussing the areas of your compliance program to review based on recent risk alerts and enforcement cases.
- Understanding the breadth and depth of recent document request lists and the steps a firm can take to be prepared.
Speaker bio: Neala Moore began her career as an attorney in a private law practice in Michigan where she specialized in estate planning, probate, bankruptcy, and asset protection. In 2000, she moved into the financial services industry where she has held positions in the back and front office. She began Sapphire Compliance Management, LLC in 2012. Sapphire Compliance Management, LLC provides compliance consulting services to small and mid-size SEC and state registered investment advisers. Ms. Moore has been a member of the National Society of Compliance Professional since 2012 and run their Austin and San Antonio Compliance Roundtables since 2013. She was a speaker at their national conference in 2022 and will be speaking at the upcoming national conference in October to be held here in Dallas. Ms. Moore obtained her Bachelor of Arts from the University of Chicago before receiving her law degree from Wayne State University in Detroit, Michigan. She is a member of the State Bar of Michigan and State Bar of Texas.
