I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Rick Fleming, Director of the Office of Investor Advocate at the Securities and Exchange Commission, started with a keynote. His office and position was created by Dodd-Frank. He currently has a staff of ten people. (One of the … Read more »
Category: Conference Notes
What To Expect From The SEC In The Year Ahead
These are my notes, live from the forum. (Please pardon the rougher nature.) Speaker: Marc Wyatt , Deputy Director -Office of Compliance Inspections and Examination, US Securities and Exchange Commission (Of course, his comments are his own and don’t represent the viewpoints of the Commission or the rest of the staff.) This also only his … Read more »
Ensuring Compliance in Your Marketing and Advertising Procedures
These are my notes, live from the forum. (Please pardon the rougher nature.) Speaker: Julia D. Corelli, Partner, Pepper Hamilton Ross A. Oliver, Senior Counsel & Chief Compliance Officer, Crestview Partners Gwen Reinke, Chief Compliance Officer, Vista Equity Partners You need to think of marketing as a broader area than advertising. Deal press releases and … Read more »
Cybersecurity and Risk Management
These are my notes, live from the forum. (Please pardon the rougher nature of this report.) Speakers: Terry E. Everett, CFO & COO, Rockland Capital Garth Nichols, Senior Manager- Financial Services, EY Christopher Anderson, CCO & General Counsel, KPS Capital Partners LP First step is to figure out what you want to protect. For private … Read more »
The SEC Exam: What We’ve Learned from Recent Exams
These are my notes, live from the forum. (Please pardon the rougher nature.) Speakers: Jason Brown, Partner, Ropes & Gray James Gaven, Senior Counsel and Chief Compliance Officer ,Welsh, Carson, Anderson & Stowe Byron Pavano, COO & Fund Counsel, Audax Group Abrielle Rosenthal, Managing Director, Chief Compliance Officer, TowerBrook Capital Partners LP The new registrant … Read more »
Compliance Today: What’s Impacting the Compliance Community
These are my notes, live from the forum. (Please pardon the rougher nature.) Moderator: Rob Kotecki, Reporter, Private Funds Management Speakers : Roman A. Bejger, Esq., General Counsel & Chief Compliance Officer, Providence Equity Danielle Ryea, Senior Manager, EY David Smolen, General Counsel & Chief Compliance Officer, GI Partners The Blackrock enforcement action was levied … Read more »
Private Fund Compliance Forum 2015
I’m spending a few days in New York attending PEI’s Private Fund Compliance Forum. Last year, the SEC’s Drew Bowden dropped his illegal expenses bombshell. I wonder what his acting replacement, Marc Wyatt, will do as follow up later today. I plan to live-blog my notes during the conference. We’ll see how the power and … Read more »
Professional Ethics at the NRS Compliance Conference
These are my notes from the NRS Fall Compliance Conference. Dorothy (Dot) C. Kelly, Director, Training & Outreach for the Professional Conduct Program, CFA Institute Wendy L. Pirie, Director, Curriculum Projects, CFA Institute Robert Stirling, Senior Consultant, Investment Adviser Services, NRS According to the 2013 Edelman Trust Barometer, the Financial Services industry is the least … Read more »
Risk Management Panel at the NRS Compliance Conference
These are my notes from the NRS Fall Compliance Conference. Robert B. Hirth, Chairman, Committee of Sponsoring Organizations of the Treadway Commission Fred Shane, Chief Risk Officer, Commonwealth Financial Network Should CCOs be Taking on the Additional Role of a Chief Risk Officer? It Depends, of Course • Compliance requirements, degree of regulation, risk • … Read more »
Information Technology and Cybersecurity
These are my notes from the NRS Fall Compliance Conference. Ted Kobus, Baker Hostetler Karen M. Aavik, First Niagara Financial Group Tammy Eisenberg, CLS Bank International In 2012 the average cost of a data breach was $5.4 million. IBM 2014 Cost of Data Breach Study More breaches happen from lost laptops and media than third-party … Read more »