Doug Scheidt is Associate Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission in Washington. Doug was formerly Associate Director (Compliance, Financial Analysis, Public Utility and Investment Company Regulation) and Assistant Director, Office of Enforcement Liaison, Division of Investment Management. Previously, Mr. Scheidt was Vice President and Associate General Counsel, The Boston Company Advisors, Inc. and an Attorney for Kirkpatrick & Lockhart.
J. Christopher Jackson is the Director and Head of U.S. Retail Legal for Deutsche Asset Management – Legal Division in New York, New York. He has been involved in the financial services industry since 1986. In 1996, Mr. Jackson joined Hansberger Global Investors, Inc., a global asset management firm.
Todd Spillane is the CCO at Invesco in Houston. He directs the compliance teams that support the U.S. Retail and U.S. Institutional operations of Invesco Aim and Invesco. Prior to this position, Mr. Spillane served as the Advisory Compliance Director for Invesco Aim and was responsible for the management of the Advisory Compliance group. Mr. Spillane also was a vice president for global product development with AIG Global Investment Group.
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This webinar was originally recorded June 9, 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.
to Listen in
- Chief Compliance Officers
- Compliance Managers
- General Counsel
- Senior Managers
One registration and a speaker phone is all you need!
Getting a solid handle on the price of securities has been among the roughest parts of the last year for firms.
That’s why we want to invite you to register for a timely forum filled with expert advice – not only for achieving sensible valuation but also for documenting best execution in this economy. Our panel of experts explores the most vexing challenges – from the pricing of bonds to developing analytics to feel comfortable in challenging prices – and delivers answers you can depend upon.
Purchase the CD of the June 9 webinar, Answers for Valuation & Best Execution’s Most Vexing Compliance Challenges and discover:
- A recent enforcement case against Evergreen Investment Management, which hinged on valuation mistakes.
- The CCO’s responsibilities when it comes to ensuring compliance with valuation policies and procedures.
- The status of the SEC’s long-awaited guidance on valuation.
- Why firms must understand the methodology behind the prices pricing services provide.
- What SEC examiners asked for during a recent sweep exam looking into valuation.
- Examples of tests for both valuation and best execution.
- Suggestions for how to conduct due diligence of pricing providers.
- Seven components that make up a good approach to confirming best execution.
- The need for CCOs to have a good relationship with the pricing group and the ideal role of a portfolio manager when it comes to valuation.
- And much more.
YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, Answers for Valuation & Best Execution’s Most Vexing Compliance Challenges for $245 [TA1819CD].
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