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

Doug Scheidt is associate director and chief counsel in the SEC’s Division of Investment Management. Doug was formerly associate director and assistant director, Office of Enforcement Liaison in the Division of Investment Management; vice president and associate general counsel of the Boston Company Advisors, Inc., and an attorney with Kirkpatrick & Lockhart as well as a special counsel in the SEC’s Office of the General Counsel.

Charles Lundelius is a senior managing director in the FTI Forensic and Litigation Consulting practice and is based in Washington, D.C. In the field of valuation, Charles is a Certified Public Accountant Accredited in Business Valuation (CPA/ABV) by the American Institute of Certified Public Accountants. He specializes in financial institutions consulting, with expertise in International Financial Reporting Standards, US Generally Accepted Accounting Standards and insurance statutory accounting practices. With 20 years of experience in the securities, investment banking and insurance industries, he provides expert testimony and advice on securities valuation, investment management and insurance matters, having testified in over 30 matters.  

Steven Yadegari serves as senior vice president and general counsel at Cramer Rosenthal & McGlynn, an RIA in New York. Prior to CRM, he worked at Kirkpatrick & Lockhart Nicholson Graham and Proskauer Rose. Steve also has served as Senior Counsel at the SEC. Steve sits on the Board of Directors of the Association for Conflict Resolution of Greater New York and is an adjunct professor at the NYU School of Continuing Education and Professional Studies.

Francine Rosenberger is a partner in the Investment Management practice of K&L Gates, working out of its Washington, D.C., office. She concentrates on regulatory and transactional matters involving mutual funds, closed-end funds, exchange traded funds (ETFs), investment advisers and broker-dealers. Her experience includes advising investment advisers on wrap programs, separate accounts dual employee arrangements, developing compliance programs and conducting compliance audits for funds and investment advisers and representing clients before the SEC in connection with no-action requests.

This webinar was originally recorded June 15, 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.

The recent Morgan Keegan enforcement case offers many lessons for compliance professionals, not the least of which surrounds your role in overseeing your firm’s adherence to policies regarding valuation.

Given the liability issues for CCOs and the continuing difficulties firms face with valuation and best execution, purchase the CD from this timely webinar to gain the latest guidance on how to approach these responsibilities in a compliant manner.

Our expert faculty covers all of the key aspects – from what the SEC expects of you to practical approaches firms can put in place to be assured of sound valuation and best execution procedures.

Purchase the CD of the June 15th webinar, Valuation & Best Execution: Guidance to Fine-Tune Your Compliance Processes and discover:

• An overview of the SEC’s expectations specific to valuing securities and achieving best execution
• How to enhance the role of the valuation committee in your shop
• Guidance on when you should re-value troublesome securities
• Examples of what goes into the compliance officer’s role with valuation and best execution
• A rundown of tools you may consider to augment your valuation efforts
• Suggestions for documenting your procedures and reviews in these areas
• Where the legal lines are drawn when it comes to achieving best execution
• And much more.

YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, Valuation & Best Execution: Guidance to Fine-Tune Your Compliance Processes for $195 [TA1973CD].

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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.

© 2010 IA Watch