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National Seminar Agenda*

Oct. 6, 2020

Compliance Outreach Program
(For Investment Adviser and Investment Company Senior Officers)

November 19, 2020

12:00 pm
to
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)

1:05 pm
to
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

2:00 pm
to
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

2:55pm
to
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

3:50 pm
to
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

4:45 pm
to
4:50 pm

Closing Remarks

Speaker: Peter Driscoll, Director, OCIE


* Sponsored by the SEC’s Office of Compliance Inspections and Examinations, Division of Investment Management and Division of Enforcement

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