Compliance Outreach Program

ForInvestmentAdvisers and Investment Companies

Chicago Regional Office

June 13, 2017

Agenda

Registration (8:00 am – 8:45 am)

Welcome and Opening Remarks (8:45 am – 9:00 am)

David Glockner, Regional Director, CHRO

Panel 1: SEC’s Changing Landscape (9:00 am – 10:00 am)

Kristin Snyder, Associate Regional Director, SFRO and Co-National Associate over IAIC

Examinations, OCIE

Dabney O’Riordan, National Co-Chief, Asset Management Unit (AMU), Enforcement

Thoreau Bartmann, Senior Special Counsel, Division of Investment Management,

Rulemaking Office

Wendy D. Fox, Chief Compliance Officer, Ariel Investments

Tina Diamantopoulos, Counsel to the Director, CHRO (Moderator)

Panel 2: Data Analytics and the National Examination Program (10:00 am – 10:45 am)

James R. Reese, Acting Chief Risk Officer, OCIE

Max J. Gillman, Exam Manager, CHRO IAIC Examination Program

Vanessa Horton, Assistant Regional Director, CHRO IAIC Examination Program

(Moderator)

Refreshment Break (10:45 am – 11:00 am)

Panel 3: IAIC Examinations: Priorities, Initiatives, Exam Selection, Common Deficiencies, 

Interplay with Enforcement

(11:00 am – 11:45 am)

Steven Levine, Associate Regional Director, CHRO IAIC Examination Program

Alicia Tate, Risk Management Strategist, CHRO IAIC Examination Program

Paul Montoya, Assistant Regional Director, CHRO Enforcement Division, AMU

Andrea Seidt, Commissioner, Ohio Division of Securities (Moderator)

Panel 4: Cybersecurity (11:45 am – 12:30 pm)

Chris Hetner, Senior Cybersecurity Advisor to the Chairman

Rebekah Kohmescher, Chief Operating Officer, Altair Advisers

David Glockner, Regional Director, CHRO

Mavis Kelly, Assistant Director, National Examination Program (Moderator)
Lunch (12:30 pm – 1:30 pm)(note: lunch is not provided as part of this conference)

Breakout Session 1 – (1:30pm – 2:15pm)

(1) Retail Clients & Retirement Funds

Louis Gracia, Deputy Associate Regional Director, CHRO IAIC Examination Program

Ahmed Abdul-Jaleel, Assistant Regional Director, CHRO IAIC Examination Program

Belinda Hoskins, Exam Manager, CHRO IAIC Examination Program

(2) Private Fund Issues

Andrew Weilbacher, Senior Specialized Examiner, Private Fund Unit

Matthew Harris, Exam Manager, Private Fund Unit

Michael Collins, Staff Accountant, Private Fund Unit

Brad Kartholl, Exam Manager, CHRO IAIC Examination Program

(3) Investment Company Hot Topics

Susan Weis, Senior Regulatory Counsel, CHRO IAIC Examination Program

José Santillan, Senior Specialist Examiner, CHRO IAIC Examination Program

David Hershey, Senior Specialist Examiner, CHRO IAIC Examination Program

Charles McCain, President and Chief Operating Officer, Harbor Capital Advisors

Breakout Session 2 – (2:30pm– 3:15pm)

(1) Recent Decisions

Thu Ta, Regulatory Counsel, CHRO IAIC Examination Program

Andrew Shoenthal, Senior Advisor, AMU, Enforcement Division

Junaid A. Zubairi, Chair, Government Enforcement & Special Investigations, Vedder

Price

(2) Robo Advisers

Kristin Snyder, Associate Regional Director, SFRO and Co-National Associate over IAIC

Examinations, OCIE

Rochelle Plesset, Senior Counsel, Division of Investment Management, Chief Counsel’s

Office

Steven Levine, Associate Regional Director, CHRO IAIC Examination Program

(Moderator)

(3) Newer Registrants: SEC Examination Processes and Tips

Maureen Dempsey, Assistant Regional Director, CHRO IAIC Examination Program

Max J. Gillman, Exam Manager, CHRO IAIC Examination Program

Gena Kusiak, Exam Manager, CHRO IAIC Examination Program

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