Jennifer Sawin is Senior Special Counsel in the SEC’s Division of Investment Management. Prior to joining the Commission staff, Ms. Sawin worked as in-house counsel with a large asset management firm and as an attorney in private practice counseling investment advisers and funds. Ms. Sawin is a graduate of Yale University, the University of Pennsylvania Law School and the Wharton School.
Robert Bagnall is a partner in the Securities Department at Wilmer Hale. Mr. Bagnall’s practice focuses on investment management regulation. Before joining WilmerHale, Mr. Bagnall served in various positions on the staff of the SEC’s Division of Investment Management from 1991-1996. Mr. Bagnall received his J.D. from Harvard Law School in 1985. He graduated summa cum laude from Yale University in 1977, where he was a member of Phi Beta Kappa. He was an adjunct professor at Georgetown University Law Center for several years and speaks frequently at industry conferences.
Michael Provine is the Chief Executive Officer and Co-founder of Candor Wealth Advisors, LLC. He works with clients to design and implement investment strategies for their personal financial situations and portfolios. Mr. Provine also works with clients to make certain their tax and estate planning is designed to accommodate their needs as he has historically done for the clients of Tradition Capital Management. Mr. Provine formerly was president of The Boston Safe Deposit and Trust Company of New York. He earned his BS from St. Joseph’s University and law degree and an advanced tax degree from Temple University and is a licensed attorney.
Kristen Grigorescu is a Technology manager in the Banking and Capital Markets group at PricewaterhouseCoopers LLP focusing on investigative data analytics, e-discovery and discovery readiness. Mrs. Grigorescu received her J.D. and MBA from University of Florida in 1999. She graduated from University of Florida with highest honors in 1996, where she was a member of Phi Beta Kappa. Mrs. Grigorescu is also a Certified Fraud Examiner.
If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!
This webinar was originally recorded Tuesday, November 18, 2008, 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
Regulators increasingly use electronic records to build their biggest enforcement cases. And just as technology changes rapidly, so must your compliance efforts continually innovate to match the speed of change in e-communications.
Find out what the current rules are, and how they’re likely to shift under the SEC’s current books and records review. Discover valuable lessons learned and various options you have to bolster your efforts to get a handle on your firm’s use of electronic communications and its responsibilities for retaining e-records. You will also hear best practices for monitoring e-communications.
Find out what the current rules are, and how they’re likely to shift under the SEC’s current books and records review. Discover valuable lessons learned and various options you have to bolster your efforts to get a handle on your firm’s use of electronic communications and its responsibilities for retaining e-records. You will also hear best practices for monitoring e-communications.
Make sure you and your firm are ready. Order the CD Rom of E-Correspondence: A Guide to Your Responsibilities Governing E-mails, Social Networking and Instant Messaging today and find out:
- How to approach employee personal- v. work-use of e-mails
- What the SEC is likely to ask for when it comes to e-communications
- A common sense e-mail retention strategy that centers on meeting your compliance and legal responsibilities
- Making sure your compliance manual squares with your actual approach to retention
- Common challenges firms face with e-correspondence and ways to resolve them
- Ideas for testing your retention strategies
- Different e-communications search capabilities and hear about current software options
- And much more.
YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, E-Correspondence: A Guide to Your Responsibilities Governing E-mails, Social Networking and Instant Messaging for $245 [A1675CD].
3 Ways To Order
Order Online | Call 800-260-1545 | Fax 301-287-2535
*Please allow 2-4 weeks for delivery
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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.
2008 IA Watch