Agenda at a Glance

11:00am – 1:00pm

Registration

1:00pm – 2:15pm

Workshop: Surviving and Thriving as a CCO

2:15pm – 2:30pm

Networking Break

2:30pm – 3:45pm

Workshop: Surviving and Thriving as a CCO

3:45pm – 4:00pm

Networking Break

4:00pm – 5:00pm

Peer Group: Welcome to the CCO Position

Peer Group: Training on Compliance: Tips and Strategies

5:00pm – 6:00pm

Reception

7:00am – 8:00am

Registration and Breakfast

8:00am – 8:15am

Welcome Comments

8:15am – 9:30am

Regulatory Reform

9:30am – 9:45am

Networking Break

9:45am – 11:00am

Custody

11:00am – 12:15pm

New Amendments to Form ADV Part 2

12:15pm – 1:15pm

Lunch

1:15pm – 2:30pm

Insider Trading

Data & Information Safeguarding

2:30pm – 2:45pm

Networking Break

2:45pm – 4:00 pm

Books & Records Management

Trading Issues

4:00pm – 4:15pm

Networking Break

4:15pm – 5:15pm

Peer Group: SEC Exams for Small Firms (Under 20 Employees)

Peer Group: SEC Exams for Medium Firms (21-50 Employees)

Peer Group: SEC Exams for Large Firms (Over 50 Employees)

5:15pm – 7:00pm

Reception

7:00am – 8:00am

Breakfast

8:00am – 9:15am

Marketing Hurdles for Private Fund Managers

Preventing Fraud and the Misappropriation of Client Assets: The Service Provider’s Perspective

9:15am – 9:30am

Networking Break

9:30am – 10:45am

 Social Networking: The Next Generation of Marketing

The Due Diligence Process

10:45am – 11:00am

Networking Break

11:00am – 12:15pm

Forensic Testing: Identifying Strengths and Weaknesses in Your Compliance Program

12:15pm

Conference Ends