Monday, October 22, 2012
12:15 pm - 1:45 pm :: Lunch Interview (OPEN)
Ted Urban on Liability for the Compliance Profession
1:45 pm - 2:30 pm :: Keynote Address (OPEN)
Carlo di Florio, U.S. Securities and Exchange Commission*
2:45 pm - 4:15 pm :: Broker-Dealer Regulatory Panel (OPEN)
2:45 pm - 4:15 pm :: Private Funds Regulatory Panel (OPEN)
4:30 pm - 6:00 pm :: Investment Adviser Regulatory Panel (OPEN)
Tuesday, October 23, 2012
8:00 am - 9:15 am :: Keynote (OPEN)
Daniel M. Gallagher, U.S. Securities and Exchange Commission*
9:30 am - 10:45 am :: Session III
III(a) BD - Risk Management
III(b) BD - Municipal Securities Regulations, the MSRB and Municipal Advisors
III(c) IA - Regulatory Examinations (Large Firms)
III(d) IA/PF - Enforcement Issues (OPEN)
III(e) GI - Fraud and Misappropriation: Detecting and Preventing
III(f) GI - CFTC Registration & Rule Changes (OPEN)
III(g) BD LAB - Branch Audits including Risk Assessment
III(h) IA LAB - Advertising
GI Roundtable - Cross Border Issues, including Registration
11:00 am - 12:15 pm :: Session IV
IV(a) BD - Enforcement Issues (OPEN)
IV(b) BD - Insurance Issues
IV(c) IA - Conflicts of Interest (Large Firms)
IV(d) IA - Disclosure Issues: How to Avoid Surprises
IV(e) PF - Writing Policies and Procedures for Private Funds
IV(f) GI - Advanced NFA/CFTC
IV(g) GI - Due Diligence for Vendors and Service Providers
IV(h) BD LAB - Compliance Testing (Large Firms)
IV(i) IA LAB - Compliance Testing (Small Firms)
IA Roundtable - State Regulations: What you learned from the SEC to State transition
12:15 pm - 1:40 pm :: Lunch (OPEN)
1:40 pm - 2:55 pm :: Session V
V(a) BD - Regulatory Exams (Small Firms)
V(b) BD - The New Suitability Rule, Three Months Later
V(c) IA - Enterprise Risk Management
V(d) IA - Conflicts of Interest (Small Firms)
V(e) IA - Conducting an Internal Investigation
V(f) GI - Insider Trading
V(g) GI - International Compliance Concerns
V(h) GI - Soft Skills: Navigation of Networking in a Regulatory Landscape
V(i) BD LAB - Gifts, Entertainment, Political Contributions and Donations
BD Roundtable - Reps Gone Rogue: What Do You Do?
3:10 pm - 4:25 pm :: Session VI
VI(a) BD - Regulatory Developments Without the Regulators
VI(b) BD - Trading Practices
VI(c) IA - Social Media
VI(d) IA - Trading Best Execution and Portfolio Management Concerns
VI(e) IA - Compliance for the Very Small Advisers
VI(f) GI - Foreign Corrupt Practices Act
VI(g) GI - Compliance AND Internal Audit, not VERSUS
VI(h) IA LAB - Gifts, Entertainment, Political Contributions and Donations
VI(i) BD LAB - Advertising
GI Roundtable - The Challenges of the Independent Contractor Model
4:40 pm - 5:55 pm :: Session VII
VII(a) BD - Social Media
VII(b) BD - Regulatory Exams (Large Firms)
VII(c) IC - Investment Company Compliance
VII(d) IA - Regulatory Developments without the Regulators
VII(e) PF - Compliance Challenges Based on Investor Class
VII(f) GI - Soft Dollars and Commission Sharing Arrangements for BDs and IAs
VII(g) IA/PF - SEC vs. GIPS Requirements - Bridging the Gap
VII(h) BD LAB - Compliance Testing (Small Firms)
VII(i) IA LAB - Compliance Testing (Large Firms)
GI Roundtable - How is your Compliance Department Structured ?
Wednesday, October 24, 2012
9:30 am - 10:45 am :: Session IX
IX(a) BD - Technology for Compliance
IX(b) BD - AML
IX(c) BD/IA - Dual Registrant Challenges: BDs Registered as Advisers and Reconciling the Differences
IX(d) IA - Pricing and Valuation
IX(e) GI - Advanced ERISA
IX(f) GI - Product Due Diligence
IX(g) GI LAB - Ethics Are Important - But How Do I Make It Practical ?