7:30 am – 8:30 am
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Registration
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8:30 am
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Welcoming Remarks — Chairman Schapiro
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8:45 am
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Introductory Remarks: Compliance Programs Today
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9:15 am
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Regulatory and Compliance Hot Topics
- Lessons Learned from Recent Events
- Challenges Faced in Turbulent Markets
- Mergers and Acquisitions
- Custody
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10:30 am
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Break
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10:45 am
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Investment Adviser/Investment Company Examination Program
- Priorities
- Coordination and Communication
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12:00 pm
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Lunch Break
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1:15 pm
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Administering Compliance and Annual Reviews
- Staff Observations
- Five Years of Compliance: Lessons Learned by CCOs
- Internal Controls and Risk Management
- Documentation and Testing
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2:30 pm
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Break
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2:45 pm
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Broker-Dealer Examination Program
- Priorities
- Coordination and Communication
- Outside Business Activities
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4:00 pm
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Overseeing the Trading Process
- The CCO's Role
- Managing the Trading Process
- Trading on Non-Public Information
- Alternative Investments
- High Speed Trading
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5:15 pm
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Closing remarks
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