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U.S. Securities and Exchange Commission

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



Modified: 04/28/2009