IPAVision 2019 and Due Diligence Symposium

Rosemarie Thurston, Martin Dozier, and Jason Goode will speak at the IPAVision 2019 and Due Diligence Symposium.

Rosemarie Thurston will speak on the panel “Borrowed Wisdom: A Peer-to-Peer Discussion on the Dynamics of a New Publicly Registered Offering.” The panel will provide perspective on effectively offering a new public security and discuss how other sponsors have mitigated risk, managed costs, and effectively delivered a new public product to market.

Martin Dozier will speak on the panel “Understanding and Maximizing the Rise of Interval Funds.” The panel will examine the major differences between closed-end fund structures and take a closer look at the assets inside the funds.

Martin Dozier and Jason Goode will speak on the panel “Direct Access: Examining the IPA’s Regulatory Priorities.” The panel will examine the legislative issues affecting the portfolio diversifying investments industry and review current regulatory priorities from the SEC, FINRA, and NASAA, including a look at regulation best interest.

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