- Chief Compliance Officers
- Compliance Managers
- General Counsel
- Senior Managers
One registration & a speaker phone is all you need!
David H. Lui became Chief Compliance Officer of FAF Advisors (the asset management arm of U.S. Bancorp) and First American Funds in 2005. He is responsible for the creation and execution of a compliance strategic plan for both entities covering $100 billion in assets. Previously, he was Chief Compliance Officer of Franklin Advisers and Chief Compliance Counsel for Charles Schwab in San Francisco. He has more than 19 years of compliance experience.
David Blass is special counsel in the Asset Management Group of Willkie Farr & Gallagher in Washington. He specializes in all aspects of investment management regulation. He has particular expertise in the regulation of investment advisory firms, including hedge fund managers. His practice focuses on SEC registration, compliance, oversight, and investigatory issues. He also assists with SEC enforcement matters and M&A. Prior to joining Willkie, he served as Assistant Director for the SEC’s Division of Investment Management.
Walter Ricciardi is a partner in the Securities Litigation and Enforcement Group, at Paul, Weiss, Rifkind, Wharton & Garrison, and has extensive experience defending a broad variety of investigations conducted by the SEC and other regulatory authorities. Prior to joining Paul, Weiss in June 2008, he was the Deputy Director of the SEC’s Division of Enforcement, where he supervised many of the Commission’s most significant investigations related to financial fraud, FCPA, insider trading, and broker-dealer and mutual fund compliance issues.
Debra Brown serves as principal of Brown & Associates and as president of Self Audit, Inc., a company that markets risk management products for registered and unregistered investment advisers. She has been approved by the U.S. Securities and Exchange Commission, as well as various states, in her service as Independent Compliance Consultant and Independent Compliance Monitor for securities industry firms that have settled enforcement actions with regulatory agencies. Since 2004, she has served as an independent chief compliance officer for several mutual fund families and currently serves as an FINRA arbitrator.
This webinar was originally recorded May 11, 2010, 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!
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.
You’re not imagining things if you sense more CCOs being named in SEC enforcement cases.
The trend follows the words of SEC Chairman Mary Schapiro in saying the agency has higher expectations of compliance staff.
The cases usually involve clearly fraudulent behavior but the trend speaks to the need to understand what’s happening, why and what compliance professionals can do to avoid becoming a target.
Set aside 90-minutes to listen to a timely discussion of what’s going on when it comes to CCO liability and risk prevention – and what it means to you. Our expert panel will bring up several relevant cases – including examples involving Reg S-P, failure to supervise, use of rebate brokers, poor oversight, missing red flags and more – analyze the risks to compliance officers and present advice on how CCOs can mitigate these risks.
Purchase the CD of the May 11th webinar, CCO Liability: Know Your Risks & How You Can Reduce Them and discover:
- An overview of recent enforcement cases targeting CCOs
- A discussion of the top risk areas and how to protect yourself
- Actions you can take to demonstrate to the SEC that you’re on top of your program
- The limits to a failure to supervise claim
- Documentation suggestions to protect yourself
- Realistic parameters of a CCO’s responsibilities
- Tips for how to respond if you suspect you may be the target of an investigation
- What may be behind this trend of compliance officers being named in cases
- And much more.
YES, please rush me a copy and the speaker presentation materials of the webinar, CCO Liability: Know Your Risks & How You Can Reduce Them for $195 [TA1972CD].
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