Giselle Casella is vice president and head of Global Core Advisory Compliance at Deutsche Asset Management in New York. She is responsible for managing key global compliance functions including policies and procedures, licensing and registration, regulatory developments and code of ethics. Prior to joining Deutsche in 2006, she served as the Senior Compliance Officer at Allianz Global Investors where she was primarily responsible for overseeing the CCO review program. Prior to Allianz, Giselle served in various compliance capacities at UBS, Prudential and AIG. Giselle began her career in compliance in 1999 as an investment adviser examiner for the SEC. Giselle also holds the Series 7 and 24 licenses.

Robert Tull is vice president and compliance officer at ING Clarion Real Estate Securities in Radnor, Pa. Prior to joining ING Clarion in 2008, he was a Senior Consultant with SEC Compliance Consultants. Rob began his career as an Examiner and Staff Accountant with the SEC in Philadelphia, focusing on investment advisers, mutual funds, and hedge fund managers. Rob is a member of the National Society of Compliance Professionals and the Association of Certified Fraud Examiners.

Robert Lavigne is CCO at GW & Wade, a registered investment adviser, and GW & Wade Asset Management Co., a FINRA registered broker/dealer, based in Wellesley, Mass. Robert joined GWW in 2005 and has more than 10 years experience in investment adviser and broker/dealer compliance as well as operations. Prior to joining GWW, Robert worked in FINRA’s Boston office and served as Assistant Vice President of VeraVest Investments in Worcester, Mass. He holds Series 7, 24, 4, 53, 63, and 65 registrations. He is also a member of The New England Broker/Dealer & Investment Adviser Association.

Ann Oglanian is the president and CEO of ReGroup, a San Francisco-based consulting firm founded in 2002. ReGroup is dedicated to providing strategic and tactical guidance to investment advisers, boards of directors, hedge funds and broker/dealers regarding all areas of business risk management. Ann has more than 20 years of professional experience in the financial services industry. Formerly, she was the Managing Director, General Counsel and CCO for San Francisco-based Montgomery Asset Management.

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One registration and a speaker phone is all you need!

This webinar was originally recorded May 5, 2009, 2:00 – 3:30 p.m., but due to the overwhelming demand for the recording, we have made it available on CD for your convenience.

A large part of any compliance officer’s job is to enforce the firm’s code of ethics, and a big piece of that revolves around dealing with conflicts of interest.

Find out how to stay on top of potential conflicts and reduce the risks to your firm. and get current ideas to track, spot and prevent potential conflicts, along with suggestions on how to confront employees when a conflict poses real trouble.

Conflicts can rear their ugly head in numerous places within a firm – from managers trading ahead of clients, traders accepting expensive gifts or failing to allocate trades in a fair and consistent manner. And SEC examiners are very interested in how firms deal with conflicts.

Purchase the CD of the May 5 webinar, Conflicts of Interest: What You Can Do to Spot, Respond to and Reduce Conflicts and discover:

• Duties investment advisers have that establish a framework for avoiding conflicts of interests.
• The five categories of conflicts.
• Where you can find four exemplary examples of conflicts of interest policies.
• Nine items that qualify as gifts and entertainment.
• Examples of conflicts especially applicable to hedge funds.
• Factors to consider when setting criteria for your allocation methods.
• Key attributes of a process for aggregating and allocating trades to demonstrate fair client treatment.
• Best practices for monitoring, challenging and testing for fair allocation.
• Required content for personal holdings reports.
• Four examples of tests for a firm’s personal trading policy.
• And much more.

YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, Conflicts of Interest: What You Can Do to Spot, Respond to and Reduce Conflicts for $245 [A1800CD].

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