The 4th Annual Investment Advisor Comliance Forum

Venue: The New York Helmsley

Location: New York City, United States

Event Date/Time: Jan 23, 2006 End Date/Time: Jan 24, 2006
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The 4th Annual Investment Adviser Compliance Forum is a fully comprehensive two day regulatory summit designed for compliance officers, investment management executives and in-house counsel. As the new registration and compliance review regulations begin to take full effect, a complete understanding of compliance issues is more pressing than ever. This conference will offer practical guidance and firsthand accounts of the evolving regulatory environment of early 2006.

Our exciting speaking faculty will kick off the conference with an immediate analysis of the most current compliance issues and will also provide:
A 75-minute Q&A session with Leilani Hall and Joseph Hirsch of the SEC
Firsthand accounts detailing the SEC exam experience
Answer the question, "What is risk assessment?"
Solutions for the annual compliance review
A full session devoted to E-mail retention and review
A step-by-step alleviation of smaller adviser concerns
SEC insight into how to prepare for an examination and how to handle it
A consultant/in-house panel mining adviser disclosure requirements
A detailed study of best execution and brokerage practices
An in-depth examination of soft dollars with Gerald Lins
And more...
To get your bearings and a solid foundation going into the conference, attend our pre-conference workshop, The Key Elements of a Successful Compliance Program!