Mutual Fund Compiance & Regulatory Summit

Venue: The Tremont Boston

Location: Boston, Massachusetts, United States

Event Date/Time: Jan 26, 2004 End Date/Time: Jan 27, 2004
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January 26-27th, 2004
The Tremont Boston Hotel, Boston, MA

Join us in Boston this January for a highly valuable and timely compliance conference! This year’s conference boasts the following up-to-the-minutes topics and themes:

• Fallout from the NY Attorney General investigation
• Fair value pricing
• Market timing and late day trading
• Update on congressional action, SEC regulation and pending legislation
• Effects of the Sarbanes-Oxley Act
• Proxy voting regulations
• Anti-money laundering legislation
• Complying with the new audit committee rules
• Advertising and shareholder reporting issues
• Distribution issues, including Rule 12b-1 payments, B-share cases
• Brokerage allocation, directed brokerage, ECNs, and alternative trading
• Compliance challenges on the horizon

Plus, you won’t want to miss the highly interactive post-conference workshops – two to choose from:
Workshop #1:
Electronic Records: Understanding Emails, Instant Messaging & The Law
• Legal overview: What are the rules
• Technology overview: What generates an electronic record
• Where is the electronic record stored inside and outside the firm?
• Monitoring, indexing, archiving, retrieving and destroying electronic records
• Responding to document production requests in civil litigation and arbitration cases
• Developing electronic records policies and procedures
• And more!

Workshop #2:
Preparing for the New SEC Examinations and Investigations
• Elements of the exam
• Inspection frequency changes
• Enhanced examination scope: Overview of current hot buttons
• Has upper management bought into compliance?
• Reporting violations to the SEC
• How to prepare for the exam
• Getting acquainted with the new request list, and how to answer the questions
• Surprise exam do’s and don’ts
• And more!


Additional Information

The cost to attend the conference and a Post-Conference Workshop is $1995. The cost to attend the conference only is $1695. Group discounts are available. Please call Kimberly Jackson at 831-465-2289 for information.