Gregory DiMeglio serves as chair of Stradley Ronon’s Securities Enforcement Practice Group.  Mr. DiMeglio represents and counsels investment advisers, broker-dealers, public companies, investment companies and individuals in connection with inquiries, investigations and enforcement actions by the SEC, grand juries, state regulators and industry SROs. He also represents companies and individuals in private securities litigation. Prior to joining Stradley Ronon, Mr. DiMeglio was a senior counsel in the SEC’s Division of Enforcement in Washington, D.C. During nearly eight years with the SEC, Mr. DiMeglio was responsible for a number of significant enforcement investigations and actions involving financial fraud, reporting and disclosure violations, broker-dealer fraud and other violations of federal securities laws.

Maureen A. Young is with the San Francisco office of Bingham McCutchen where she is co-chair of Bingham’s Privacy and Security Group, and a member of the Financial Institutions Corporate and Regulatory and the Commercial Technology Groups.  Her practice focuses on corporate and regulatory matters involving financial institutions, including compliance and enforcement matters.  She regularly advises on compliance with federal and state laws, privacy, data protection and security matters and a wide variety of e-commerce and cyberlaw issues.

Karen Huey is the President and founder of Professional Compliance Assistance, Inc. (PCA). She has previous experience in both the retail and research departments of several national brokerage firms. Ms. Huey managed the portfolio management, compliance, trading and personnel aspects of an investment advisory firm for six years, leading its development from a fledgling firm to one that today manages over $1 billion in client assets. Ms. Huey founded PCA in order to assist IA firms in all aspects of compliance, such as new firm registration, policy and procedure development and risk analysis. PCA performs annual reviews and employee training sessions for advisory firms, and also assists its clients with regulatory examinations, including on-site support before, during and after examinations.

Daniel Harvey serves as Chief Operating Officer and Chief Compliance Officer at Patronus Advisors, LLC in Dallas. Patronus Advisors, LLC is SEC registered and opened its doors for business in June 2008. Prior to cofounding the RIA, Daniel worked as a financial advisor at UBS Financial Services. Daniel received his Bachelor of Science from The University of Texas at Austin.

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This webinar was originally recorded September 15, 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.

• Chief Compliance Officers
• Compliance Managers
• General Counsel
• Senior Managers

One registration and a speaker phone is all you need!

A lot has changed in the last year, including the SEC’s focus during exams of investment advisers.

Here’s an opportunity to make the best investment of 90-minutes of your time all year by tuning into our September webinar that showcases how the SEC exam process has changed and what the hot button issues are that advisory firms absolutely must be prepared for.

Our discussion will include lessons learned from recent enforcement actions against investment advisers because the new administration has introduced greater cooperation between the SEC’s Enforcement Division and the Office of Compliance Inspections and Examinations.

Plus this webinar will share with you recent OCIE exam document request letters from various regions so you can see first-hand what examiners are currently requesting from firms.

Whether your firm was last examined years ago or never examined, you can’t afford to assume they’re not coming. The SEC has new marching orders and heightened exam activity is among these.

Purchase the CD of the September 15 webinar, SEC Exam Survival Skills for RIAs in the Post-Madoff Era and discover:

• How the enforcement and exam culture has changed at the SEC post-Madoff.
• What’s now expected of CCOs and firms by more exacting OCIE examiners.
• The latest in exam trends and how firms can prepare for them.
• Nine proven steps firms can take – before, during and after – to improve their exam performance.
• The new types of SEC exams, including details behind those visits to new advisory firms.
• What’s behind OCIE’s heightened due diligence of firms before examiners arrive.
• What to do and not do when you receive a deficiency letter.
• A typical scenario of how an exam is likely to unwind.
• And much more.

YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, SEC Exam Survival Skills for RIAs in the Post-Madoff Era for $195 [TA1841CD].

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Webinars are sponsored by IA Week, a publication of IA Watch, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.
© 2009 IA Watch