National Seminar Agenda

National Seminar Chairpersons

Marshall Gandy, National Associate Director, SEC, Division of Examinations

Vanessa Horton, National Associate Director, SEC, Division of Examinations

8:30 am

To

8:50 am

Welcoming Remarks

Speaker

SEC Chair Gary Gensler

Division of Examinations Remarks

Speaker

Keith Cassidy, Acting Director, SEC, Division of Examinations

8:55 am

to

9:30 am

SEC Directors Panel

Speakers

Keith Cassidy, Acting Director, SEC, Division of Examinations (Moderator)

Natasha Vij Greiner, Director, SEC, Division of Investment Management

Sam Waldon, Acting Deputy Director and Chief Counsel, SEC, Division of Enforcement

9:40 am

to

10:45 am

Panel I: Information Security & Operational Resiliency  

• Policies and procedures
• Oversight of third-party vendors
• Cybersecurity: assessment of cyber risks for essential business operations
• Protection of investor’s information and assets, including Regulation S-P
• Off-channel communication

Speakers

Alexis Hall, Acting National Associate Director, SEC, Division of Examinations, Technology Controls Program (Moderator)

David Joire, Senior Special Counsel, SEC, Division of Investment Management, Chief Counsel’s Office

Mike Khalil, Senior Counsel, SEC, Division of Investment Management

Salvatore Montemarano, Senior Specialized Examiner, SEC, Division of Examinations, Technology Control Program

Nikolay Vydashenko,  Assistant Director, SEC, Division of Enforcement, Fort Worth Regional Office

Cheryl Zabala, Chief Compliance Officer, Pretium Partners, LLC

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10:55 am

to

12:00 pm

Panel II: Registered Investment Company Topics

• Disclosure trends and accuracy of filings
• Board oversight observations
• Rulemaking impact: derivatives risk management, valuation, and names rules
• Tailored shareholder reports for mutual funds and exchange traded funds

Speakers

Rachel Loko, Senior Special Counsel, SEC, Division of Investment Management

(Moderator)

Chris Chase, Senior Counsel, SEC, Division of Investment Management

Luisa Lewis, Supervisory Attorney Adviser, SEC, Division of Examinations, Chicago Regional Office

Salvatore Massa, Senior Advisor and Strategy Officer, SEC, Division of Enforcement, Asset Management Unit, New York Regional Office

Michael Spratt, Assistant Director, SEC, Division of Investment Management

Stephanie Hui, Lead Counsel, Public Policy & Vice President, Dimensional Fund Advisors

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12:00 pm

to

12:30 pm

Lunch Break

12:30 pm

to

1:35 pm

Panel III: Private Fund Adviser Topics

• Filing accuracies and Form PF amendments
• Marketing rule: private fund-related topics
• Valuation: private credit investments and real estate assets
• Fee and expense issues/conflicts

Speakers

Jennifer Duggins, Assistant Director and Co-Head of the Private Funds Unit, SEC, Division of Examinations, New York Regional Office (Moderator)

Shane Cox, Regulatory Counsel, SEC, Division of Examinations, Private Funds Unit, Philadelphia Regional Office

Lee A. Greenwood,  Assistant Regional Director, SEC, Division of Enforcement, Asset Management Unit, New York Regional Office

Adele Kittredge Murray, Private Funds Attorney Fellow, SEC, Division of Investment Management, New York Regional Office

Michael Neus, Chief Administrative Officer, Brevan Howard US Investment

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1:45 pm

to

2:50 pm

Panel IV: Marketing Rule

• General prohibitions and compliance policies and procedures
• Impact on solicitor rule, testimonials, and endorsements
• Performance advertisements (including hypothetical)
• Enforcement’s perspective on the new marketing rule

Speakers

Karen Stevenson, SEC, Senior Program Adviser, Division of Examinations, National Exam Program Office (Moderator)

Melissa Harke, Senior Special Counsel, SEC, Division of Examinations, Office of Chief Counsel

Scott Jameson, Senior Counsel, SEC, Division of Investment Management

Brianna Ripa, Assistant Director, SEC, Division of Enforcement, Asset Management Unit

Karyn Vincent, Senior Head-Global Industry Standards and GIPS Executive Director, CFA Institute

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3:00 pm

to

4:05 pm

Panel V: Registered Investment Advisers

• Fiduciary duty: investment advice, processes for best interest determinations, economic incentives, disclosures
• Compliance programs, including annual review and Form ADV observations
• Compensation arrangement assessments

Speakers

Ryan Hinson, Regulatory Counsel, SEC, Division of Examinations, Los Angeles Regional Office (Moderator)

Aaron DeAngelis, Examination Manager, SEC, Division of Examinations, Philadelphia Regional Office

Colin Forbes, Assistant Director, SEC, Division of Enforcement, Boston Regional Office

Anna Sandor, Senior Counsel, SEC, Division of Investment Management

Jim D’Sidocky, General Counsel & CCO, Sanders Capital, LLC

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4:15 pm

to

5:20 pm

Panel VI:  Hot Topics Lightning Round

• Crypto assets
• T+1
• Artificial Intelligence
• Internet adviser exemption for SEC registration
• IA growth through mergers/acquisitions
• Pre-IPO offering
• FinCEN adviser AML rule

Speakers

Steven Levine, Senior Special Counsel, SEC, Division of Examinations, Chicago Regional Office (Moderator)

Nadia Brannon, Branch Chief of Crypto Asset Specialized Exams, SEC, Division of Examinations, Technology Controls Program

Matt Cook, Senior Counsel, SEC, Division of Investment Management

Virginia Rosado Desilets, Assistant Director, SEC, Division of Enforcement

Roberto Grasso, Branch Chief, SEC, Division of Examinations, Office of Risk & Strategy, Office of Risk Analysis & Surveillance, Branch of Surveillance and Reporting

Maurya Keating, Associate Regional Director, SEC, Division of Examinations, New York Regional Office

Sirimal Mukerjee, Senior Special Counsel, SEC, Division of Investment Management

Lindsay Topolosky, Regulatory Counsel, SEC, Division of Examinations, National Exam Program Office

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5:25 pm

to

5:30 pm

Closing Remarks

Speaker

Keith Cassidy, Acting Director, SEC, Division of Examinations