SPEAKING ENGAGEMENTS 2008
Click on the month to view the speaking engagements.
- January
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- February
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- March
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- April
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- May
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- June
- July
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- August
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- September
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- October
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- November
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- December
January
9th Annual Investment Management Compliance Symposium | |
| Date: | January 14, 2008 |
| Topic: | SEC and Regulatory Roundup |
| Sponsor: | Financial Research Associates, LLC |
| Location: | New York, NY |
| Speaker: | Jeff Morton |
| ***** | |
Investment Management Compliance Symposium | |
| Date: | January 15, 2008 |
| Topic: | Productive Compliance Training |
| Sponsor: | FRA |
| Location: | New York, NY |
| Speaker: | Ted Eichenlaub |
| ***** | |
2. ALI-ABA Investment Adviser Regulation | |
| Date: | January 25, 2008 |
| Topic: | Private Advisers and Compliance Roundtable |
| Sponsor: | ALI-ABA |
| Location: | New York, NY |
| Speaker: | Jeff Morton |
| ***** | |
February
6th Annual Best Execution Symposium | |
| Date: | February 22, 2008 |
| Topic: | Meeting Buy Side Challenges |
| Sponsor: | Financial Research Associates, LLC |
| Location: | New York, NY |
| Speaker: | Jeff Morton |
| ***** | |
March
Legal & Compliance Updates | |
| Date: | March, 17 20008 |
| Topic: | Forensic Testing and Assuring Appropriate Controls |
| Sponsor: | Financial Research Association |
| Location: | New York, NY |
| Speaker: | Ted Eichenlaub |
| ***** | |
April
2008 Mutual Fund Compliance Programs Conference | |
| Date: | April 17, 2008 |
| Topic: | Overseeing Service Providers |
| Sponsor: | Investment Company Institute |
| Location: | Washington, DC |
| Speaker: | Nick Prokos |
| ***** | |
Eighth Annual Policy Conference | |
| Date: | April 18, 2008 |
| Topic: | Fund Consultants: When should a board consider hiring a consultant, and how should it evaluate cost and performance? |
| Sponsor: | Mutual Fund Director’s Forum |
| Location: | Washington, DC |
| Speaker: | Nick Prokos |
| ***** | |
National Advisors Trust 2008 Annual Conference | |
| Date: | April 25, 2008 |
| Topic: | Preparing for an SEC Inspection |
| Sponsor: | National Advisors Trust |
| Location: | Hilton Head, SC |
| Speaker: | Robert Stype |
| ***** | |
Chief Operating Officer Management Forum | |
| Date: | April 3, 2008 |
| Topic: | Fair Valuation of Complex Investments |
| Sponsor: | U.S. Institute |
| Location: | New York, NY |
| Speaker: | Ted Eichenlaub |
| ***** | |
Fair Valuation | |
| Date: | April 4, 2008 |
| Topic: | Fair Valuation of Complex (and often illiquid) Investments |
| Sponsor: | U.S. Institute |
| Location: | New York, NY |
| Speaker: | Ted Eichenlaub |
| ***** | |
May
4th Annual Fund of Funds Business Operations Forum | |
| Date: | May 15, 2008 |
| Topic: | Managing and Surviving an SEC Review |
| Sponsor: | Financial Research Associates, LLC |
| Location: | New York, NY |
| Speaker: | Ted Eichenlaub |
| ***** | |
Hedge Fund Tax, Accounting, Administration Master Class | |
| Date: | May 19, 2008 |
| Topic: | The Accountant’s Guide to Surviving an SEC Examination |
| Sponsor: | Financial Research Associates, LLC |
| Location: | New York, NY |
| Speaker: | Jeff Morton |
| ***** | |
Financial Planning Association Retreat 2008 | |
| Date: | May 31, 2008 |
| Topic: | Record Retention Requirements for Registered Investment Advisors |
| Sponsor: | Financial Planning Association |
| Location: | Weston, FL |
| Speaker: | Bert Sanchez |
| ***** | |
June
ACI 5th National Legal & Compliance Hedge Fund Forum | |
| Date: | June 11, 2008 |
| Topic: | Best Practices for Responding to a SEC Exam Request |
| Sponsor: | ACI |
| Location: | New York, NY |
| Speaker: | Ted Eichenlaub |
| ***** | |
ACI 5th National Legal & Compliance Hedge Fund Forum | |
| Date: | June 11, 2008 |
| Topic: | Establishing a Framework of Internal Policies, Practices and Controls |
| Sponsor: | ACI |
| Location: | New York, NY |
| Speaker: | Ted Eichenlaub |
| ***** | |
Hedge 101 & 102 West Coast | |
| Date: | June 12, 2008 |
| Topic: | Basics of Hedge Fund Regulation & SEC Roundup |
| Sponsor: | Financial Research Associates |
| Location: | San Francisco, CA |
| Speaker: | Robert Stype |
| ***** | |
Hedge Funds 101 & 102 | |
| Date: | June 18, 2008 |
| Topic: | SEC Roundup and Current Issues |
| Sponsor: | Financial Research Associates, LLC |
| Location: | New York, NY |
| Speaker: | Jeff Morton |
| ***** | |
The CCO Workshop | |
| Date: | June 18, 2008 |
| Topic: | Best Practices for Responding to a SEC Exam Request |
| Sponsor: | IIR |
| Location: | New York, NY |
| Speaker: | Ted Eichenlaub |
| ***** | |
July
Mutual Fund Regulation: Hot Topics Workshop | |
| Date: | July 10, 2008 |
| Topic: | Mutual Fund Regulation Hot Topics |
| Sponsor: | West LegalWorks |
| Location: | Boston, MA |
| Speaker: | Shannon Behara |
| ***** | |
REGULATION & COMPLIANCE ROUNDTABLE | |
| Date: | July 21, 2008 |
| Topic: | Top Enforcement Priorities |
| Sponsor: | Financial Research Associates, LLC |
| Location: | New York, NY |
| Speaker: | Ted Eichenlaub |
| ***** | |
August
There are currently no events scheduled | |
| Date: | |
| Topic: | |
| Sponsor: | |
| Location: | |
| Speaker: | |
| ***** | |
September
ICAC Compliance Officers Network | |
| Date: | September 16, 2008 |
| Topic: | Best Execution Rules from a US Perspective |
| Sponsor: | Investment Counsel Association of Canada |
| Location: | Montréal, QC |
| Speaker: | Leigh Vazquez |
| ***** | |
Operational Risk | |
| Date: | September 17, 2008 |
| Topic: | Avoiding, Mitigation, and Addressing Your Exposure- Before You Suffer a Loss |
| Sponsor: | Mesirow Financial |
| Location: | Chicago, IL |
| Speaker: | Dan Smith |
| ***** | |
ACA's Fall 2008 Compliance Workshop | |
| Date: | September 8, 2008 |
| Topic: | Understanding CCO and Supervisory Responsibilities |
| Sponsor: | ACA Compliance Group & IM Insight |
| Location: | Boston, MA |
| Speaker: | Barry Schwartz |
| ***** | |
ACA's Fall 2008 Compliance Conference | |
| Date: | September 8, 2008 |
| Topic: | Valuation |
| Sponsor: | ACA Compliance Group & IM Insight |
| Location: | Boston, MA |
| Speaker: | Shannon Behara |
| ***** | |
ACA's Fall 2008 Compliance Conference | |
| Date: | September 8, 2008 |
| Topic: | AML Best Practices & Prohibited Securities Transactions |
| Sponsor: | ACA Compliance Group & IM Insight |
| Location: | Boston, MA |
| Speaker: | Nick Prokos |
| ***** | |
ACA's Fall 2008 Compliance Conference | |
| Date: | September 8, 2008 |
| Topic: | New Form ADV Part 2 & Compliance Benchmarking |
| Sponsor: | ACA Compliance Group & IM Insight |
| Location: | Boston, MA |
| Speaker: | Lynne Carreiro |
| ***** | |
ACA's Fall 2008 Compliance Conference | |
| Date: | September 8, 2008 |
| Topic: | CCO's Guide to GIPS Compliance |
| Sponsor: | ACA Compliance Group & IM Insight |
| Location: | Boston, MA |
| Speaker: | Jeff Tarumianz & Justin Guthrie |
| ***** | |
October
FTJ FundChoice Investment Advisor Conference | |
| Date: | October 2, 2008 |
| Topic: | Regulatory Compliance Update |
| Sponsor: | FTJ FundChoice |
| Location: | Cincinnati, OH |
| Speaker: | Barry Schwartz |
| ***** | |
Back Office Exchange | |
| Date: | October 3, 2008 |
| Topic: | Proposed Regulation S-P Amendments and SEC Deficiency Letter Excerpts |
| Sponsor: | Muller & Monroe Asset Management, LLC |
| Location: | Chicago, IL |
| Speaker: | Luke Wilson |
| ***** | |
November
AML Roundtable | |
| Date: | November 5, 2008 |
| Topic: | Anti-Money Laundering Rules and Regulations |
| Sponsor: | Anti-Money Laundering Rules and Regulations |
| Location: | Miami, FL |
| Speaker: | Leigh Vazquez |
| ***** | |
December
8th Annual US CDO Summit | |
| Date: | December 8, 2008 |
| Topic: | Accounting, Tax, Legal and Regulatory Issues and Updates |
| Sponsor: | Opal Financial Group |
| Location: | Monarch Beach, CA |
| Speaker: | Shannon Behara |
| ***** | |