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Agenda
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Sunday, April 26, 2009
Pre-Conference Workshops
 Closed to Press, Regulators and Exhibitors
2:30pm - 5:00pm
Form ADV Part 2 Writing Clinic

Bring Your ADV to Mark-up!
Building a Successful SEC Exam Strategy
5:00pm - 7:00pm Conference Registration & Welcoming Reception
Monday, April 27, 2009
7:00am - 7:50 am Continental Breakfast
7:50am - 8:00am Opening Remarks
8:00am - 9:00am
Risk Management and Regulation in the New Frontier
9:10am - 10:15am
Successfully Meeting Compliance Challenges Facing the Small Adviser
Anatomy of a Trading Desk

 
Surviving a Routine FINRA Examination including
the 2008 Top Ten Deficiencies
10:15am - 10:45am Networking Break - Meet the Exhibitors
10:45am - 12:00pm
Successfully Meeting Compliance Challenges Facing the Small Adviser
continued
 
Anatomy of a Trading Desk:
continued
 
Update on FINRAs
Rule Consolidation Process
12:00pm - 1:10pm Networking Luncheon
1:20pm - 2:30pm
Risk Identification and Forensic Testing
Achieving a Unified Approach to Compliance for the SEC and FINRA Dual Registrant
2:30pm - 3:00pm Networking Break - Meet the Exhibitors
3:00pm - 4:15pm
SEC Inspection Priorities for Investment Advisers and Mutual Funds in the Wake of the Market Crisis
Best Execution and Soft Dollars: Getting It Right
6:00pm - 7:30pm Networking Reception
Tuesday, April 28, 2009
7:30am - 8:15am Continental Breakfast
8:15am - 8:30am Opening Remarks
8:30am - 9:00am Special Opening Address
David Tittsworth
9:05am - 10:15am

Recent Enforcement Case Studies for Volatile Markets
10:15am - 10:45am

Networking Break - Meet the Exhibitors
 

Peer Learning Forums
10:45am -12:00pm

Enterprise Concerns

Client Service Areas

Investment Adviser Compliance Programs
12:00pm - 1:00pm Box Lunch
Exhibit Area
1:00pm -2:15pm
Culture of Compliance
Advertising and Disclosure
Dual Registrant Compliance
2:15pm - 2:45pm Networking Break - Meet the Exhibitors
2:45pm - 4:45pm

Ethics for Compliance Professionals in an Unforgiving Environment
5:00pm - 6:00pm Center for Compliance Professionals Reception
NRS Hospitality Gathering
Wednesday, April 29, 2009
7:00am - 7:45am Continental Breakfast
7:45am - 8:00am Raffle
Opening Remarks
8:00am - 9:15am

CCO Toolkit
Understanding the Fundamentals of a
Sound Records Management Program
9:15am - 9:35am Networking Break - Meet the Exhibitors
9:35am - 10:30am
Operational Risk Management
Employment Law for the Securities Industry
10:30am -10:40am

Stretch Break
10:40am - 11:45pm
Operational Risk Management
 continued
ERISA Update
12:00pm -1:00pm
Peer Learning Discussion Groups
1:00pm End of Conference



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