2022 Compliance Conference

Conference Materials

1. 1. Agenda
   2. Speaker Biographies
   3. Sponsors & Exhibitors
   4. Ethics for Advisers: Compliance with Fiduciary Standards – Part 1
      1. Powerpoint Presentation
      2. Session Outline
   5. Remarks by SEC Division of Investment Management with Director William A. Birdthistle (no materials)
   6. Fireside Chat with SEC Commissioner Caroline Crenshaw (no materials)
   7. Preparing to Implement the New Marketing Rule
      1. Powerpoint Presentation
      2. The New Framework for Investment Adviser Marketing
   8. Solicitation under the Marketing Rule
      1. Powerpoint Presentation
      2. Session Outline
   9. Trading Issues
      1. Powerpoint Presentation
      2. SEC Risk Alert: Observations Regarding Fixed Income Principal and Cross Trades by Investment Advisers from An Examination Initiative
      3. OCIE Risk Alert: Investment Adviser Principal and Agency Cross Trading Compliance Issues
      4. OCIE Risk Alert: Compliance Issues Related to Best Execution by Investment Advisers
   10. What it Means to Have a Fiduciary Duty
       1. Powerpoint Presentation
       2. SEC: Commission Interpretation Regarding Standard of Conduct for Investment Advisers
   11. Private Equity Funds
       1. Powerpoint Presentation
       2. SEC Risk Alert: Observations from Examinations of Private Fund Advisers
       3. OCIE Risk Alert: Observations from Examinations of Investment Advisers Managing Private Funds
       4. Debevoise & Plimpton: SEC Proposes Extensive New Rules Applicable to Private Fund Advisers
       5. Morgan Lewis: SEC Proposes Sweeping New and Amended Rules Under Advisers Act to Overhaul Private Fund Industry
   12. Opening Doors Together (no materials)
   13. Presentation of Performance under the Marketing Rule
       1. Powerpoint Presentation
       2. K&L Gates: The SEC’s Modernized Marketing Rule for Investment Advisers
       3. ACA Group: A Guide to the Presentation of Performance Under the New Marketing Rule
       4. ACA Group: SEC Marketing Rule Preparation Timeline
   14. Wrap Fee Program
       1. Powerpoint Presentation
       2. SEC Division of Examinations Risk Alert: Observations from Examinations of Investment Advisers Managing Client Accounts That Participate in Wrap Fee Programs
   15. Annual Reviews
       1. Powerpoint Presentation
       2. OCIE Risk Alert: OCIE Observations: Investment Adviser Compliance Programs
       3. Jacko Law Group: IA Program Essentials
       4. CCLS: Considerations for Advancing Your Compliance Program
       5. Jacko Law Group: What the SEC Really Wants to Find in Your Firm’s Compliance Manual
       6. Sample Compliance Review
       7. Speech by SEC Staff Gene Goehlke: “Practical Guidance for Hedge Fund CCOs Under the SEC’s New Regulatory Framework,” at Managed Funds Association Educational Seminar Series, 2005
       8. Speech by SEC Staff Lori A. Richards: “Put The Compliance Rule To Work,” at IA Compliance Best Practices Summit, 2004
       9. SEC: Questions Advisers Should Ask While Establishing or Reviewing Their Compliance Programs
       10. Jacko Law Group: Top 10 Considerations for Investment Adviser Annual Reviews
   16. DOL Developments
       1. Powerpoint Presentation
       2. Pickard Djinis and Pisarri LLP: ESG Investing and Proxy Voting Under the ERISA Investment Duties Regulation
       3. Groom Law Group: Department of Labor Developments – PTE 2020-02 – Fiduciary Investment Advice Exemption
   17. Exam Experiences
       1. Powerpoint Presentation
   18. Building Confidence in Your Cybersecurity Program
       1. Powerpoint Presentation
       2. Session Outline
       3. Klingenstein Fields Advisors: Preventing Fraud: Steps to Safeguard Your Assets
       4. Vendor Due Diligence Questionnaire – Technology
       5. SEC Press Release: SEC Announces Three Actions Charging Deficient Cybersecurity Procedures
       6. RightSize Solutions: 10 Actionable Tips to Improve Your Firm
       7. RightSize Solutions: 10 Tips to Make Your Business Safer
       8. Right Size Solutions: Ransomware Attacks Are Closer than You Think
       9. Faegre Drinker: NIST Releases New “Cybersecurity Framework Profile for Ransomware Risk Management” to Battle Growing Threat of Ransomware Attacks
       10. Faegre Drinker: SEC Proposes New Cybersecurity Risk Management Rules for Registered Investment Advisers, Registered Investment Companies and Business Development Companies
       11. Faegre Drinker: New York Department of Financial Services Issues New Guidance on Multi-Factor Authentication and Cybersecurity Frameworks
       12. Faegre Drinker: Fall Cybersecurity Enforcement Update: State and Federal Regulators Increase Scrutiny on Victims of Cyberattacks
       13. Klingenstein Fields Advisors: Your Cybersecurity Questions Answered
       14. Klingenstein Fields Advisors: More Cybersecurity Questions Answered
       15. Klingenstein Fields Advisors: Hosted Events with Cyber Experts (Videos)
   19. Ethics for Advisers: Compliance with Fiduciary Standards – Part 2
       1. Powerpoint Presentation
       2. SEC Complaint: SEC v. Matthew Panuwat
       3. Order Denying Motion to Dismiss: SEC v. Matthew Panuwat
       4. SEC Press Release: Private Equity Firm Ares Management LLC Charged with Compliance Failure
       5. SEC Press Release: McKinsey Affiliate to Pay $18 Million for Compliance Failure of Nonpublic Information
       6. OCIE Risk Alert: Observations from Examinations of Investment Advisers Managing Private Funds
       7. SEC v. Collector’s Coffee, Inc.
   20. Regulatory Hot Topics (no materials)
   21. Exams & Enforcement: A Conversation with Senior SEC Officials (no materials)
   22. ESG Investing Practices, Compliance Programs, and Disclosures
       1. Powerpoint Presentation
       2. Session Outline
   23. Impact of the Marketing Rule on Private Equity and Private Credit
       1. Powerpoint Presentation
       2. Session Outline
       3. Kirkland & Ellis: SEC Proposes Sweeping Rule Changes for Private Fund Advisers (Part 1 of 2)
       4. Kirkland & Ellis: SEC Risk Alert Details Additional Private Fund Adviser Examination Deficiencies
       5. Kirkland & Ellis: SEC Proposes Sweeping Rule Changes for Private Fund Advisers (Part 2 of 2)
   24. Digital Assets
       1. Powerpoint Presentation
       2. Excerpt from The Truth About Crypto by Ric Edelman: Qualified Custodians: A Checklist to Assist Your Due Diligence Efforts
   25. Data Privacy Overview
       1. Powerpoint Presentation
       2. Session Outline
   26. BCPs and Remote Supervision
       1. Powerpoint Presentation
       2. Session Outline
   27. Hot Topics from Inside the Beltway (no materials)
   28. Effective Supervision of Technology
       1. Powerpoint Presentation
       2. Gary Gensler Prepared Remarks: “Dynamic Regulation for a Dynamic Society,” Before the Exchequer Club of Washington, D.C.
       3. IAA Comment Letter: SEC Request for Comment on Digital Engagement Practices
       4. SEC Division of Investment Management Guidance Update, February 2017
       5. SEC Press Release: SEC Charges AXA Rosenberg Entities for Concealing Error in Quantitative Investment Model
       6. SEC Press Release: Transamerica Entities to Pay $97 Million to Investors Relating to Errors in Quantitative Investment Models
   29. IAA Information
       1. Member Benefits Datasheet
       2. Welcome Brochure
   30. Dining Guide