Compliance Outreach Program, New York Regional Office, June 18, 2015, Agenda (Private Fund)

Registration (12:00 pm - 12:30 pm)

Welcome and Opening Remarks (12:30 pm - 12:45 pm)

• Ken C. Joseph, Associate Director, New York Regional Office Examination Program

Panel 1: FY2015 Priorities and Initiatives Relevant to Private Funds (12:45 pm - 1:30 pm)

• George DeAngelis, Assistant Director
• Anthony Fiduccia, Assistant Director
• Alpa Patel, Branch Chief, Private Funds, Division of Investment Management

Panel 2: Private Fund Issues (1:30 pm - 2:15 pm)

• Igor Rozenblit, Specialized Senior Examiner, National Exam Program
• Majid Mahmood, Staff Accountant
• John P. Martorano, Securities Compliance Examiner

Panel 3: Asset Management Unit Update (2:15 pm - 2:45 pm)

• Panayiota Bougiamas, Assistant Director, Division of Enforcement, AMU
• Valerie Szczepanik, Assistant Director, Division of Enforcement, AMU

Break (2:45 pm - 3:00 pm)

Panel 4: Cybersecurity Issues (3:00 pm - 3:45 pm)

• Christopher Hetner, Cybersecurity Lead, National Exam Program
• Azam Riaz, Staff Accountant

Panel 5: Private Fund Open Q & A (3:45 pm - 4:15 pm)

• All Panelists

Closing Remarks (4:15 pm - 4:30 pm)

• Ken C. Joseph, Associate Director