Legal and Compliance Roundtable - February 26, 2019 Duff & Phelps Legal and Compliance Roundtable - February 26, 2019 Question Title * 1. Please rank the compliance topics below in accordance with your level of interest, with 1 being the topic of highest interest. The top three topics will be addresses during the breakfast roundtable. 1 2 3 4 5 Cybersecurity 1 2 3 4 5 Gatekeeper and CCO Liability 1 2 3 4 5 Formulating an Effective Compliance Program 1 2 3 4 5 Private Fund Initiatives 1 2 3 4 5 Other SEC Priorities OK DONE