— Deputy general counsel to speak about compliance and fiduciary duty —
(Orlando, Fla.) July 5, 2017 — Erin Gray, deputy general counsel of capital markets for CNL Financial Group, will moderate a panel at the Alternative & Direct Investment Securities Association (ADISA) Due Diligence Forum July 14 at the Fairmont Millennium Park in Chicago. The panel, titled “Beyond Due Diligence,” will discuss broker-dealer education, compliance, evaluating fund suitability and fiduciary duty.
At CNL, Gray is responsible for overseeing the company’s wholesale broker-dealer due diligence regulatory teams, providing legal and regulatory support. She has previously managed the corporate legal, litigation, contract negotiation, legal billing functions for CNL and its affiliates along with the firm’s private placement investment opportunities.
“The due diligence process is just the start of the critical review process that broker-dealers and RIAs must undertake as they evaluate alternative investments,” Gray said. “I look forward to sharing with other industry professionals the obligations of financial advisors who offer alternative investments, and hearing how other businesses are approaching this issue.”
About CNL Financial Group
CNL Financial Group (CNL) is a leading private investment management firm providing real estate and alternative investments. Since inception in 1973, CNL and/or its affiliates have formed or acquired companies with more than $34 billion in assets. CNL is headquartered in Orlando, Florida. For more information, visit cnl.com.
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