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Agenda for 2009 Regional Seminars for Adviser and
Fund Chief Compliance Officers
Opening Remarks and Introduction
- Welcome
- Population Information: National and Local
- Evolving Compliance Environment
Current Topics
- SEC Examinations Today
- New, Proposed, or Recently Adopted Regulations
- Recent Enforcement Cases of Interest
Fiduciary Duty
- Portfolio Management
- Disclosure of Conflicts of Interest
- Appropriateness of Investment Decisions
- Use of Service Providers
Safeguarding Client Assets
- Rule Requirements
- Improving Safeguards
- Validation Reviews
Performance Claims
- Ensuring Accuracy
- Valuation Concerns
- Common Problems
Compliance Resources
- Effect of Reductions in Resources
- Targeting Resources/Leveraging
Closing Remarks
http://www.sec.gov/info/cco/ccorsagenda2009.htm
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