Thursday, Nov. 5, 2009 8:45 AM – 10:00 AM PST
Steven Hansen, Partner - Bingham & McCutchen
Michele Layne, Associate Regional Director - SEC, Los Angeles Regional Office
Course Description:
The speakers will review the most significant SEC Enforcement cases of 2009 and identify the lessons that can be learned by Investment Adviser and Broker-Dealer compliance and legal professionals. This case review will identify the areas where failures have occurred and the issues that are on the regulators’ radar. Attendees will be able to apply the lessons from the costly failures that occurred at other firms in assessing their compliance programs and business operations and implementing remedial measures to risk areas identified.
For whom:
Chief Compliance Officers, compliance professionals and others working in the compliance area such as legal counsel, and managers.
Prerequisites for attendance:
No prerequisites are required. However, attendees should have a working knowledge of the regulations and terms contained within the Investment Advisers Act of 1940 and the Securities and Exchange Act of 1934