| 12:00 pm–1:00 pm | Remarks from SEC Directors Speakers - Marc Berger, Deputy Director, SEC’s Division of Enforcement (Enforcement)
- Dalia Blass, Director, SEC’s Division of Investment Management (Investment Management)
- Peter Driscoll, Director, SEC’s Office of Compliance Inspections and Examinations (OCIE)
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| 1:05 pm–1:55 pm | Panel I: Information Security and Operational Resiliency - SEC operations during the pandemic and beyond
- Efficiencies and risks associated with fully working from remote locations
- Common examination observations regarding business continuity plans, disclosures, and supervision
Speakers - Kristin Snyder, Co-Deputy Director, National Associate Director, and Associate Regional Director, OCIE, San Francisco Regional Office (Moderator)
- David Joire, Senior Special Counsel, Chief Counsel’s Office, Investment Management
- Michelle Kelley, Senior Vice President and Associate General Counsel, LPL Financial LLC
- Kristina Littman, Chief, Cyber Unit, Enforcement
Panel Administrator - Erica Gould, Exam Manager, OCIE, San Francisco Regional Office
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| 2:00 pm–2:50 pm | Panel II: Undisclosed Conflicts of Interest - Impact business practices have on creating risks and conflicts of interest
- Disclosure of financial conflicts related to compensation
- Observations on advisers’ practices to mitigate and address conflicts of interest
Speakers - Daniel Kahl, Deputy Director and Chief Counsel, OCIE (Moderator)
Kimberly Frederick, Assistant Director, AMU, Enforcement, Denver Regional Office - Janet Grossnickle, Assistant Director, Chief Counsel’s Office, Investment Management
- Jeannie Lewis, Senior Compliance Counsel, William Blair & Company, L.L.C. and William Blair Investment Management LLC
Panel Administrator - Mark Wszolek, Staff Accountant, OCIE, Atlanta Regional Office
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| 2:55pm–3:45 pm | Panel III: Registered Funds - Recent regulatory developments
- Emerging risks
- Common staff observations
Speakers - Kevin Christy, Attorney Adviser, OCIE, Chicago Regional Office (Moderator)
- Brian Johnson, Assistant Director, Investment Company Regulation Office, Investment Management
- Joseph McGill, Chief Compliance Officer, Lord Abbett
- Corey Schuster, Assistant Director, AMU, Enforcement
Panel Administrator - Keith Kanyan, Program Specialist, National Exam Program Office, OCIE
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| 3:50 pm–4:45 pm | Panel IV: Hot Topics - Issues affecting retail investors and senior clients
- FinTech-related topics
- Inconsistencies between business practices and disclosures
- Advisers marketing impact, sustainable, and responsible investing
Speakers - Marshall Gandy, National Associate Director and Associate Regional Director, OCIE, Fort Worth Regional Office (Moderator)
- Lewis Collins, Partner & General Counsel, GW&K Investment Management LLC
- Jennifer McHugh, Senior Special Counsel, Disclosure Review Office, Investment Management
- Jeremy Pendrey, Assistant Director, AMU, Enforcement, San Francisco Regional Office
Panel Administrators - Merryl Hoffman, Senior Regulatory Counsel, OCIE, New York Regional Office
- Rachel Lavery, Senior Regulatory Counsel, OCIE, New York Regional Office
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| 4:45 pm–4:50 pm | Closing Remarks Speaker - Peter Driscoll, Director, OCIE
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