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