Description:

The liquidity and financial crisis, as well as the Bernard Madoff and Stanford Financial scandals, will certainly impact the nature of the SEC examination process. What are the likely outcomes of these scandals? How will Congress reshape regulation and how will events influence the contours of the SEC examination program? No matter the outcome, change is coming and you will need to adapt and prepare. The Associate Director and Chief Counsel of the SEC’s OCIE and a senior securities attorney and expert on examinations, will offer their best assessment of the new landscape and their recommendations as to new best practices.

For whom:

Compliance officers, legal counsel, mutual fund managers and staff from other departments that interact with compliance.
 

Pre-requisites for participation:

A basic understanding of the provisions and terminology contained in the Investment Advisers Act of 1940.