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|  |  | Compliance Outreach Programfor Investment Advisers and Investment CompaniesNational Seminar Agenda(Discussions Directed Towards Larger Firms)
January 31, 2012

**7:30 am**

**Registration**

**8:30 am**

**Welcoming Remarks — Chairman Schapiro**

**8:45 am**

**Introductory Remarks**

Speakers*Carlo di Florio,* Director, Office of Compliance Inspections and Examinations*Eileen Rominger*, Director, Division of Investment Management

**9:15 am**

**Compliance and Enterprise Risk Management**
- How Risk Management and Compliance Intersect to Effectively Identify, Assess, and Manage Risk within the Regulations
- Align Risks:  How CCOs Can Leverage and Engage Operational Units in Their Firms
- Communicating Control Activities to Document, Report, and Attest to the Effectiveness of Policies and Procedures  

Speakers*Drew Bowden*, Associate Director,**Office of Compliance Inspections and Examinations*Kevin Goodman*, Associate Director, Denver Regional Office*Philip Kirstein*, Independent Compliance Officer and the Senior Officer, AllianceBernstein *Joseph Carrier*, Chief Risk Officer, Legg Mason, Inc.

**10:30 am**

**Break**

**10:45 am**

**Trading Practices**
- Risk Management:
Managing the Full Range of Potential Events
Keeping Investment Information Protected from Misuse Within A Firm and Confidential From External Sources
Using Expert Networks, Affiliations, Relationships, and Consultants
Using Alpha Capture Systems

- Align Risks so that CCOs Can Identify:
Potential 204A-Related Issues
Misuse of Material Non-public Information
Insider trading

- Communicating Control Activities:  Tools to Detect and Address Misconduct

Speakers*Erozan Kurtas*, Senior Specialized Examiner,**New York Regional Office (see slide presentation)*David Grim*, Assistant Director, Division of Investment Management*Charles Senatore*, Head of Corporate Compliance, Fidelity Investments*Jennifer Duggins*, Compliance Officer, Chilton Investment Company, LLC

**12:00 pm**

**Lunch Break**

**1:30 pm**

**Dodd-Frank Wall Street Reform and Consumer Protection Act**
- Rules Implementing Amendments to the Advisers Act
- Transition of Mid-Sized Advisers from SEC Registration to State Registration 
- New Registration and/or Reporting Requirements for Private Fund Advisers
- Enhanced and/or Mandatory Collaboration with Other Regulators 
- Changes to the National Exam Program as a Result of New Regulations

Speakers*Norm Champ*, Deputy Director, Office of Compliance Inspections and Examinations*Robert Plaze*, Deputy Director, Division of Investment Management*Thomas Kennedy*, Chief Compliance Officer of Arden Asset Management, LLC*Eric Komitee*, General Counsel, Viking Global Investors, LP

**2:45 pm**

**Break**

**3:00 pm**

**Enforcement-Related Matters**
- Discussion with Enforcement’s Asset Management Unit
- Trends and Messages in Recent Enforcement Matters
- Reflecting on Enforcement Matters Where the CCO is Named

Speakers*Rosalind Tyson*, Regional Director,**Los Angeles Regional Office*Barbara Chretien-Dar*, Assistant Director, Office of Enforcement Liaison, Division of Investment Management*Bruce Karpati*, Co-Chief Asset Management Unit, Division of Enforcement *Robert Kaplan*, Co-Chief Asset Management Unit, Division of Enforcement 

**4:15 pm**

**Safety and Soundness of Client Assets/Custody**
- Lessons Learned from Implementing the New Custody Rule
- Asset Verification within the National Exam Program
- Custody Issues Associated with Terminated Funds and Funds-of-Funds (i.e. funds that are winding down)

Speakers*Donna Esau*, Assistant Director,**Atlanta Regional Office*Daniel Kahl*, Assistant Director, Division of Investment Management*Nancy Morris*, Executive Vice President, Allianz Global Investors of America*Lee Augsburger*, Senior Vice President, Chief Ethics and Compliance Officer, Prudential Financial 

**5:25 pm**

**Closing Remarks**

*Carlo di Florio,*Director, Office of Compliance Inspections and Examinations

 
*http://www.sec.gov/info/complianceoutreach/complianceoutreachns2012-agenda.htm*Home | Previous PageModified: 01/27/2012 |
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