Robert Tull isvice 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.

David Hunt currentlyserves as the Deputy Chief Compliance Officer of NFJ Investment Group L.P., an affiliate of Allianz Global Investors. David has over 12 years of experience in compliance, operations and client services. Prior to joining NFJ in January 2008, he served as the Chief Compliance Officer, and Deputy Chief Compliance Officer of multiple advisory firms, including affiliates of Wachovia Securities in Charlotte, N.C., and SunTrust Bank in Atlanta, and Dreyfus Funds in Denver. Hunt holds the Series 7, 24, 27, and 66 licenses.

Barry Greenberg serves as a partner in the Dallas office of Akin Gump Strauss Hauer & Feld LLP. He focuses on advising both registered and unregistered investment companies and investment advisers, including on private investment funds and compliance with RIA and broker-dealer regulations. He also advises clients regarding potential investments in a variety of private equity and hedge funds. His career includes 10 years as vice president, legal, compliance and administration of American Beacon Advisors as well as seven years in the SEC Enforcement Division, where he investigated investment advisers and others.

Linda Shirkey is president of The Advisor’s Resource, a Houston-based consulting firm that provides compliance expertise to investment advisers and hedge fund managers. Her firm conducts mock exams, prepares registrations, customizes policies and procedures manuals and assists with annual reviews, among other things. A former institutional stock broker covering money managers and major corporations, she was with Charles Schwab & Co. for 10 years.

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

This webinar was originally recorded November 17, 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.

If you do not get the guidance you need, we’ll refund your entire registration fee. 100% Guaranteed!

A sure way to impress SEC examiners upon their next visit to your firm is with a solid track record of compliance program testing, results and documentation. The challenge arises in how to put together a realistic testing program given that your to-do list only grows longer with each passing day.

Let the answer be our November webinar, where we will bring together four experts – including two CCOs – to share realistic approaches to forensic testing, including time-saving scheduling and documentation tips that will leave you confident in your ability to get it all done.

They will share real-life examples of compliance tests – from custody to best execution, soft dollars to personal trading – that you can mimic, give you tools to help document your testing and findings, and outline ways to demonstrate to the SEC that you have a solid handle on your firm’s compliance program.

Purchase the CD of the November 17th webinar, Your 90-Minute Guide to Realistic Forensic Testing: How to Pull It Off Amid Other Compliance Duties and discover:

• A recap of how SEC examiners are asking about forensic testing and their documentation expectations as seen on recent exams
• Tools to help you document your tests in ways you’ll be able to quickly share results with examiners
• A proven-approach to using your testing as the foundation of your annual review, including a calendar that keeps you on track throughout the year
• Examples of tests you can use around valuation, insider trading, performance advertising and more
• Suggestions for when your risk assessment should prompt you to refine your testing
• What SEC rules say and don’t say about your obligations to test
• Pointers that will help you save time when it comes to assembling your annual review
• And much more.

YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, Your 90-Minute Guide to Realistic Forensic Testing: How to Pull It Off Amid Other Compliance Duties for $195 [TA1900CD].

3 Ways to Order

Order online | Call 1-888-234-7281 | Fax 301-287-1316
*Please allow 2-4 weeks for delivery
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