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Southern California Compliance Group

The Southern California Compliance Group provides an open forum for candid discussions with industry personnel and members to solve current compliance issues.

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Home→Members - Meeting Minutes and Materials →IAWatch – OCIE’s new trade blotter template likely to challenge advisers…

IAWatch – OCIE’s new trade blotter template likely to challenge advisers…

IAWatch - OCIE's new trade blotter template likely to challenge advisers...

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2025 Quarterly Meetings

  • Tues, February 11, 2025
  • Tues, May 20, 2025
  • Tues, August 12, 2025
  • Tues, November 4, 2025

Time: 11:30 am to 1:00 pm
Meetings are also being held virtually.

  • Los Angeles
  • San Diego
  • Newport
  • Pasadena

2025 Social Networking Events

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