Complying with the Compliance Program Rule & Surviving the SEC Audit

Venue: New York

Location: New York, New York, United States

Event Date/Time: Feb 26, 2007
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If you need to hear about the very latest compliance hot buttons in investment management today, this conference is for you. An outstanding faculty comprised of leading compliance officers the SEC and prominent attorneys will walk you through exactly what you need to know to comply with the Compliance Program Rule and surviving an SEC audit. You will learn:
The qualifications for compliance officers
How to create an efficient compliance manual
How to establish a monitoring and auditing process
How to establish clear written policies and procedures
How to handle potential conflicts of interest
What’s of most concern to the SEC today?
What to expect from SEC examiners
Special issues after the exam: emails, audit reports and more
Effectively responding to the SEC's interview questions
Recent enforcement trends
...and much more!