Insights on Responding to the NY SEC Inspection Letter at Institutional Investor Events' 3rd Annual Chief Compliance Officer Forum, March 11-12, 2008
Institutional Investor Events announcesthe 3rd Annual Chief Compliance Officer Forum: Peer-Driven Strategies To Protect Your Firm in Volatile Times, March 11-12, 2008 at The Harmonie Club, New York City. Held in association with Compliance Reporter, The Chief Compliance Officer Forum will tackle the key regulatory and compliance challenges facing today's CCO and cover topics such responding to the SEC's new inspection letter, valuation, insider trading, forensic testing, due diligence for relationships with counterparties, BD/IA arrangements, the annual review and more.
New York, NY (PRWEB) February 21, 2008 -- Institutional Investor Events (II Events) is proud to announce the 3rd Annual Chief Compliance Officer Forum: Peer-Driven Strategies To Protect Your Firm in Volatile Times, March 11-12, 2008 at The Harmonie Club, New York City.
Held in association with Compliance Reporter, The Chief Compliance Officer Forum is the only forum created by CCOs for CCOs. The forum will tackle the key regulatory and compliance challenges facing today's CCO and will cover topics such responding to the SEC's new inspection letter, valuation, insider trading, forensic testing, due diligence for relationships with counterparties, BD/IA arrangements, the annual review and more.
The SEC New York Inspection Letter has set a new level of accountability across the board for the industry. Don't miss Thomas A. Biolsi, U.S. Securities and Exchange Commission, as he answers the questions raised by this detailed assessment and get the tools you need to respond.
Our speaking faculty includes 23 regulators and compliance officers, including keynote speaker Bruce Karpati, U.S. Securities and Exchange Commission who will address current enforcement issues for investment advisors, and Alma Angotti from FINRA, who will address practical strategies for using gap analyses. Plus, hear real-life experiences from compliance officers such as David Lui, FAF Advisors/First American Funds, Lane S. Bucklan, Iridian Asset Management LLC; Victor Frye, ProFunds and ProShares; Brian Kawakami, Lazard Asset Management LLC; Joseph McGill, UBS Global Asset Management; Nicholas Tsoudis, Bear Stearns Asset Management, Inc. and more!
Program highlights includes:
| | - Interactive CCO Panel: Tales from the Trenches and Lessons Learned
- Controlling Insider Trading Risks in Today's Uncertain Trading Climate
- CCO Experiences of Forensic and Transactional Testing
- Tackling Complex Valuation Risks in Volatile Markets and Illiquid Markets
- Real-Life Case Studies of IA Annual Reviews
- CCO Debate on Outsourcing and Third Party Due Diligence
- Achieving Compliance in BD/IA Arrangements
- NEW Roundtable Discussions CCO Liabilities, Compliance Challenges for Small Firms, Fee- Based Brokerage Accounts….. and more!
- Plus- Don't Miss Our Half day Interactive Workshop: Surviving an SEC exam
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For more information on this event please visit www.iievents.com. If you would like to feature this event in your publication and attend this event as press, please contact Ronda Dimasi rdimasi@iievents.com, Tel: 212-224-3569.
About II Events
Institutional Investor Events produces awards events and high quality conferences and seminars that leverage the content of Institutional Investor News' 17 financial newsletter titles. Like the Institutional Investor newsletters, the conferences deliver critical intelligence across the entire field of financial services, providing leading edge information on tomorrow's trends. www.iievents.com
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