Agenda

7:00 - 8:15 am

Registration and Continental Breakfast

8:15 - 8:30 am

Welcome Remarks

David Tittsworth, Executive Director, IAA
Janis Kerns, Editor, ACA Insight

8:30 - 9:00 am

Keynote Address - SEC Commissioner Elisse Walter

9:00 - 10:00 am

Compliance After a Market Crisis: Lessons Learned, New Areas of Focus

Topics to include: valuation challenges; rethinking complex investment products and strategies; new areas of emphasis during annual review and testing; the new role of the CCO; and doing more with less/stretching the compliance budget.

Doug Scheidt, Associate Director & Chief Counsel, Division of Investment Management, SEC
Thomas Lemke, Managing Director & General Counsel, Legg Mason Capital Management
Marianne O’Doherty, Chief Compliance Officer, Smith Breeden Associates, Inc.
Robert Stype, Managing Partner, ACA Compliance Group (moderator)

10:00 - 10:30 am

Break

10:30 - 11:30 am

Keynote Address by Andrew Donohue, Director, Division of Investment Management, SEC

Regulatory Update: What’s Next for Advisers from the SEC? 

Stephanie Monaco, Partner, Mayer Brown LLP
J. Christopher Jackson, Director & Head of U.S. Retail Legal, Deutsche Asset Management 
David Tittsworth, Executive Director, IAA (moderator)

11:30 - 12:30 pm

Custody and Fraud Detection – Confirming Client Assets

Sarah Bessin, Assistant Director, Division of Investment Management, SEC
Mari-Anne Pisarri, Partner, Pickard and Djinis LLP
Patricia Flynn, Vice President & Chief Compliance Officer, INTECH Investment Management LLC 
Valerie Baruch, Assistant General Counsel, IAA (moderator)

12:30  - 1:45 pm

Luncheon Address - Professor Henry T.C. Hu, Director of the Division of Risk, Strategy, and Financial Innovation, SEC

1:45 - 2:45 pm

Current Trading Issues

Kevin Goodman, Associate Regional Director, Denver Regional Office, SEC
Steve Stone, Partner, Morgan Lewis & Bockius LLP 
Christopher Crossan, Vice President & Global Chief Compliance Officer, Dimensional Fund Advisors LP
Theodore Eichenlaub, Partner, ACA Compliance Group (moderator)

2:45 - 3:45 pm

Code of Ethics Issues and Proprietary Trading  

Daniel Kahl, Branch Chief, Division of Investment Management, SEC
James Anderson, Partner, WilmerHale
Doug Anderson, Chief Compliance Officer & Counsel, Canyon Capital Advisors LLC
Karen Barr, General Counsel, IAA (moderator)

3:45 – 4:15 pm

Break

4:15 – 5:15 pm              

Breakout  Sessions:

Current Hot Topics for Hedge Fund Managers

David Vaughan, Attorney Fellow, Division of Investment Management, SEC
Alan Halfenger, Chief Compliance Officer, Bain Capital Partners LLC
David W. Blass, Special Counsel, Willkie Farr & Gallagher, LLP
Cathie Saadeh, General Counsel, ACA Compliance Group (moderator)

Current Hot Topics for Institutional Managers

Robert Plaze, Associate Director, Division of Investment Management, SEC
Laurin Blumenthal Kleiman, Partner, Sidley Austin LLP
Lewis Collins, Vice President and Senior Counsel, Affiliated Managers Group, Inc.
William Meck, Managing Partner, Meck Compliance Consulting LLC (moderator)

Current Hot Topics for Managers with Individual Clients

Mavis Kelly, Assistant Director, Office of Compliance Inspections and Examinations, SEC
Sara Emley, Partner, BuckleySandler LLP
Michael Kossman, Chief Compliance Officer, Chief Financial Officer, Principal, Aspiriant LLC 
Gary Watkins, Partner, ACA Compliance Group (moderator)

5:15 - 7:00 pm

Cocktail Reception

7:30 - 8:30 am

Compliance Over Coffee

Topics to include: wrap-fee program issues; hedge fund marketing; business continuity plans; commission-sharing arrangements; institutional trading issues (high-frequency trading, dark pools); IRAs, Keoughs, and Roth conversions; and international issues

8:30 - 9:30 am

SEC’s "Pay to Play" Anti-Fraud Rule Proposal

Sarah Bessin, Assistant Director, Division of Investment Management, SEC
Ki Hong, Partner, Skadden, Arps, Slate, Meagher & Flom LLP
Nancy Morris,Vice President & Chief U.S. Regulatory Counsel, Allianz Global Investors of America LP
Monique Botkin, Senior Counsel, IAA (moderator)

9:30 – 10:30 am

Portfolio Management and Client Guidelines

Gene Gohlke, Associate Director, Office of Compliance Inspections and Examinations, SEC
Thomas Harman, Partner, Morgan Lewis & Bockius LLP 
Lisa Sheeler, Vice President & Assistant General Counsel, MFS Investment Management 
Paul Glenn, Counsel, IAA (moderator)

10:30 - 11:00 am

Break

11:00 - 12:00 pm

Data Security and Privacy Issues

Kris Easter, Office of Compliance Inspections and Examinations, SEC
J. Beckwith ("Becky") Burr, Partner, WilmerHale
Karen Nash-Goetz, Vice President & Associate Legal Counsel, T.Rowe Price Associates, Inc.
Barry Schwartz, Partner, ACA Compliance Group (moderator)

12:00 - 1:00 pm

Luncheon Address: Washington Update: How Will Advisers be Affected by Regulatory Reform?

Neil Simon, Vice President for Government Relations, IAA
David Tittsworth, Executive Director, IAA (moderator)

1:00 - 2:00 pm

Disclosures: Keeping them Current

Daniel Kahl, Branch Chief, Division of Investment Management, SEC
Christopher Harvey, Partner, Dechert LLP
Peter Koffler,General Counsel, Marketable Alternative Asset Management Division, The Blackstone Group
Jennifer Choi, Assistant General Counsel, IAA (moderator)

2:00 - 2:15 pm

Break

2:15 - 3:15 pm

Breakout Sessions:

Risk Management Workshops for Small, Medium, and Large-Sized Firms. These Workshops will focus on practical risk management and annual review and testing strategies for different sized firms. In addition, they will focus on ways to leverage existing compliance resources to stretch the compliance budget.

Small Firms (AUM under $1B)

Craig Lukin, Chief Compliance Officer, Roumell Asset Management
Lorna Schnase, Attorney at Law 
Michelle L. Jacko, Chief Executive Officer, Core Compliance & Legal Services, Inc.(moderator)

Medium Firms (AUM $1B-$5B)

Alan Goldberg, Partner, K&L Gates LLP
Marla Chidsey Roeser, Director of Compliance, Convergent Wealth Advisors, LLC
Paul Glenn, Counsel, IAA (moderator)

Large Firms (AUM over $5B)

Lori Martin, Partner, WilmerHale
James Feeney, Chief Compliance Officer, Commonfund Asset Management Company, Inc.
Robert Stype, Managing Partner, ACA Compliance Group (moderator)

3:30 - 4:30 pm

SEC Examinations   

4:30 pm

End of Conference