You are invited to attend the second in a series of interactive investment adviser compliance roundtables. This unique series is designed to bring compliance officers and others interested in adviser compliance issues in the Chicago metropolitan area together periodically to share information and discuss hot topics.
Compliance in Today’s Recovering Market
At the Spring 2010 Roundtable, a panel of experts will discuss the impact of the market crisis, multiple high-profile fraud cases and recent regulatory developments on investment adviser compliance risks and challenges.
Our goal is make this program as relevant and helpful to you as we possibly can. Please help us to develop the most valuable program by letting us know any additional topics you would like to see addressed when you reply with your RSVP.
Topics to be addressed include:
- Update on Current Regulatory Environment
Hedge fund registration; SEC surprise exams;
- Custody and Safekeeping of Client Assets
Impact of Custody Rule amendments; special issues for fund of funds/special purpose vehicles; monitoring assets in client accounts; assuring the accuracy of transactions and positions reported to clients; reconciliation practices
- New Privacy Regulations
Regulation S-AM; MA state privacy regulations
- Allocation of Expenses
Fund vs. manager vs. soft dollar
Investigations and other initiatives to end pay-to-play and restrict use of placement agents and other intermediaries; enhanced disclosure and conflict of interest requirements for advisers
- Hot Topics Selected by Attendees
Contact Michelle O’Connor from Sidley Austin LLP at 312.853.7531 or email@example.com or Nick Batinich from ACA Compliance Group at 312.201.9620 or firstname.lastname@example.org if you have any questions.
Registration and Breakfast
8:45 - 10:00 a.m.
Nicholas Batinich, CFA
Senior Principal Consultant
ACA Compliance Group
Assistant General Counsel
Driehaus Capital Management LLC
10:15 - 11:30 a.m.
Interactive Roundtable Discussion
During the roundtable discussion, you will have the opportunity to raise a variety of compliance issues among your peers (not limited to the program’s focus topics).
This is a free event
Seating is limited
Sidley Austin LLP is an approved accredited provider of Illinois CLE credit. This program is pending CLE approval.