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Alan Goldberg Moderates Panel at Investment Adviser Compliance Conference

March 14, 2023
Firm News
PHILADELPHIA – Stradley Ronon is pleased to announce that Partner Alan P. Goldberg moderated a panel at the 2023 Investment Adviser Compliance Conference on March 14 in Washington, D.C. The panel, “Compliance Testing and Use of Technology,” covered the growing use of technology in registered investment advisers’ investment processes and compliance environment and discussed how advisers could use technology in innovative, adaptable and relevant ways.

Goldberg is a resident in the firm’s Chicago office and represents registered investment companies and their independent board members, registered investment advisers, sponsors to unregistered investment pools and family offices. He handles all aspects of creating registered investment companies and registering new investment advisers, including the establishment of compliance policies and procedures. Goldberg regularly prepares regulatory filings and applications on behalf of investment companies, including mutual funds, exchange-traded funds, closed-end funds and investment advisers, and he has performed numerous comprehensive compliance reviews of investment advisers and investment companies.

About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With offices in eight strategic locations, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.

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