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Compliance Outreach Program National Seminar 2018 (For Investment Adviser and Investment Company Senior Officers) Agenda*

Feb. 13, 2018

National Seminar Agenda (Targeted Discussions For Larger Firms)

April 12, 2018

7:30 am Registration Opens
8:30 am
to
8:40 am
Welcoming Remarks
SpeakerChairman Jay Clayton
8:40 am
to
9:10 am
Introductory Remarks from SEC Directors
Speakers
  • Dalia Blass, Director, Division of Investment Management
  • Peter Driscoll, Director, Office of Compliance Inspections and Examinations (National Exam Program)
  • Stephanie Avakian, Co-Director, Division of Enforcement
9:10 am
to
10:20 am
Panel I: Insights from SEC Leadership Regarding Program Priorities *
  • Update on certain National Exam Initiatives
  • Fiscal year 2018 priorities
  • Update on certain fiscal year 2017 priorities
Speakers
  • Paul Cellupica, Deputy Director, Division of Investment Management
  • C. Dabney O’Riordan, Co-Chief, Division of Enforcement, Asset Management Unit, Los Angeles Regional Office
  • Kristin Snyder, Co-National Associate Director, National Exam Program, San Francisco Regional Office
10:20 am
to
10:45 am
Question & Answer Session 1
Speakers
  • Ahmed Abdul-Jaleel, Assistant Regional Director, National Exam Program, Chicago Regional Office (Moderator)
  • Brian Blaha, Staff Accountant, National Exam Program, Denver Regional Office
  • Sara Cortes, Assistant Director, Division of Investment Management, Investment Adviser Regulation Office
  • Louis Gracia, Deputy Associate Regional Director, National Exam Program, Chicago Regional Office
  • Barbara Gunn, Assistant Director, Division of Enforcement, Asset Management Unit, Fort Worth Regional Office
  • Michael Spratt, Assistant Director, Division of Investment Management, Disclosure Review Office
10:45 am
to
11:00 am
Break (Q & A Session 1 May Continue Through the Break)
11:00 am
to
12:00 pm
Panel II: Fees and Expenses Impacting Retail Investors
  • Reviewing how the fiduciary standard relates to fees and expenses
  • Disclosing, mitigating and managing conflicts of interest (e.g., allocation and layering of fees and expenses)
  • Operating business models that may create increased risks that investors will pay excessive and/or inadequately disclosed fees, expenses or other charges.
Speakers
  • Louis Gracia, Deputy Associate Regional Director, National Exam Program, Chicago Regional Office (Moderator)
  • Adam Aderton, Assistant Director, Division of Enforcement, Asset Management Unit
  • Jennifer Porter, Branch Chief, Division of Investment Management, Investment Adviser Regulation Office
  • Nicole Tremblay, Senior Vice President and Chief Compliance Officer, Weston Financial
12:00 pm
to
1:15 pm
Lunch Break
1:15 pm
to
2:00 pm
Panel III: Emerging Trends in Portfolio Management
  • Exploring the impact of FinTech (e.g., process automation and big data analytics)
  • Changing wealth management practices (e.g., increased use of portfolio modeling)
  • Embracing risk management frameworks, implementing stress testing methodologies, and managing liquidity
Speakers
  • Carolyn O’Brien, Senior Staff Accountant, National Exam Program, National Exam Program Office (Moderator)
  • Benjamin Alden, General Counsel, Betterment LLC
  • Michelle McCarthy Beck, Chief Risk Officer, TIAA-CREF Investment Management Inc
  • Barbara Gunn, Assistant Director, Division of Enforcement, Asset Management Unit, Fort Worth Regional Office
  • Timothy Husson, Associate Director, Division of Investment Management, Analytics Office
2:00 pm
to
2:30 pm
Question & Answer Session 2
Speakers
  • William Delmage, Assistant Regional Director, National Exam Program, New York Regional Office (Moderator)
  • Ahmed Abdul-Jaleel, Assistant Regional Director, National Exam Program, Chicago Regional Office
  • Adam Aderton, Assistant Director, Division of Enforcement, Asset Management Unit
  • Diane Blizzard, Associate Director, Division of Investment Management, Rulemaking Office
  • Mark Dowdell, Assistant Regional Director, National Exam Program, Philadelphia Regional Office
  • Craig Ellis, Exam Manager, National Exam Program, Denver Regional Office
  • Douglas Scheidt, Chief Counsel, Division of Investment Management Kristin Snyder, Co-National Associate Director, National Exam Program, San Francisco Regional Office
2:30 pm
to
2:45 pm
Break (Q & A Session 2 May Continue Through the Break)
2:45 pm
to
3:45 pm
Panel IV: Regulatory Hot Topics
  • Custody
  • Business continuity (lessons learned from natural disasters)
  • Initial Coin Offerings and cryptocurrencies
  • MiFID
Speakers
    Daniel Kahl, Chief Counsel, National Exam Program (Moderator)
  • David Bartels, Senior Special Counsel to the Director, Division of Investment Management
  • Steven Felsenthal, General Counsel & Chief Compliance Officer, Millburn Ridgefield Corp
  • Ryan Hinson, Regulatory Counsel, National Exam Program, Los Angeles Regional Office
  • Corey Schuster, Assistant Director, Division of Enforcement, Asset Management Unit
  • Marshall Sprung, Managing Director & Head of Global Compliance, Blackstone
3:45 pm
to
4:30 pm
Panel V: Cybersecurity
  • Reviewing current cybersecurity threats affecting investment management firms
  • Understanding the legal landscape
  • Highlighting effective industry practices
Speakers
  • David Joire, Senior Special Counsel, Division of Investment Management, Chief Counsel’s Office (Moderator)
  • Keith Cassidy, Associate Director, National Exam Program, Technology Controls Program (TCP)
  • Robert Cohen, Chief, Division of Enforcement, Cyber Unit
  • Shamoil Shipchandler, Regional Director, Fort Worth Regional Office
  • Steven Yadegari, Chief Operating Officer & General Counsel, Cramer Rosenthal McGlynn LLC
4:30 pm
to
5:25 pm
Panel VI: Observations on Ways to Improve Compliance
  • Reviewing recent enforcement cases and lessons learned about firms’ compliance programs
  • Educating and monitoring supervised persons
  • Strengthening disclosures and transparency
  • Keeping up with regulatory and internal reporting
Speakers
  • Donna Esau, Associate Regional Director, National Exam Program, Atlanta Regional Office (Moderator)
  • Marshall Gandy, Associate Regional Director, National Exam Program, Fort Worth Regional Office
  • Martin Kimel, Senior Special Counsel, Division of Investment Management, Enforcement Liaison Office
  • Joseph McGill, Chief Compliance Officer, Lord Abbett & Co LLC
  • Brendan McGlynn, Assistant Director, Division of Enforcement, Asset Management Unit, Philadelphia Regional Office
5:25 pm
to
5:30 pm
Closing Remarks
Speaker
  • Donna Esau, Associate Regional Director, National Exam Program, Atlanta Regional Office
  • Marshall Gandy, Associate Regional Director, National Exam Program, Fort Worth Regional Office

* Sponsored by the SEC’s Office of Compliance Inspections and Examinations, Division of Investment Management and Division of Enforcement

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