| 8:30 am – 8:50 am | Welcoming Remarks Division of Examinations Remarks - Keith Cassidy, Acting Director, SEC, Division of Examinations
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| 8:55 am – 9:30 am | SEC Directors Panel Panelists - 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
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| 9:40 am – 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
Submit questions for the panelists |
| 10:55 am – 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
Submit questions for the panelists |
| 12:00 pm – 12:30 pm | Lunch Break |
| 12:30 pm – 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
Submit questions for the panelists |
| 1:45 pm – 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
Submit questions for the panelists |
| 3:00 pm – 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
Submit questions for the panelists |
| 4:15 pm – 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
Submit topic suggestions for the panelists |
| 5:25 pm – 5:30 pm | Closing Remarks - Keith Cassidy, Acting Director, SEC, Division of Examinations
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