The 4th Annual Investment Advisor Comliance Forum
Venue: The New York Helmsley
|Event Date/Time: Jan 23, 2006||End Date/Time: Jan 24, 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
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!