Conference Materials

1. Agenda
2. Speaker Bios
3. Sponsors/Exhibitors

Monday

Download all Monday materials

4. Fireside Chat with SEC Commissioner Mark T. Uyeda (no materials)
5. DEI on the Rise — Recipes for Successful Initiatives (no materials)
6. Marketing Rule Lessons Learned
   1. PowerPoint Presentation
   2. Outline
   3. SEC Division of Examinations Risk Alert: Examinations Focused on the New Investment Adviser Marketing Rule
7. Identifying and Managing Conflicts of Interest
   1. PowerPoint Presentation
   2. Outline
8. Recordkeeping Obligations Around the Use of Personal Devices and Messaging Apps
   1. PowerPoint Presentation
   2. Outline
   3. OCIE Risk Alert: Observations from Investment Adviser Examinations Relating to Electronic Messaging
   4. Sample Business Communications Surveillance Terms
   5. Quarterly Certification of Business Communication Requirements
   6. 2023 Examination Priorities, SEC Division of Examinations
   7. SEC Press Release: JPMorgan Admits to Widespread Recordkeeping Failures and Agrees to Pay $125 Million Penalty to Resolve SEC Charges
   8. SEC Press Release: SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures
   9. SEC Press Release: SEC Charges Connecticut Hedge Fund Adviser for Breaches of Fiduciary Duties When Redeeming Two University Clients
   10. In the Matter of BofA Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated
   11. In the Matter of Barclays Capital, Inc.
   12. In the Matter of Citigroup Global Markets Inc
   13. In the Matter of: Credit Suisse Securities (USA) LLC
   14. In the Matter of Deccan Value Investors LP and Vinit Bodas
   15. In the Matter of Goldman Sachs & Co. LLC
   16. In the Matter of Jefferies LLC
   17. In the Matter of J.P. Morgan Securities LLC
   18. In the Matter of Morgan Stanley & Co. LLC and Morgan Stanley Smith Barney LLC
   19. In the Matter of Nomura Securities International, Inc.
   20. In the Matter of UBS Financial Services, Inc. and UBS Securities LLC
9. DOL Fiduciary Rule Under ERISA and Rollovers
   1. PowerPoint Presentation
   2. Outline
10. Trading Issues for Advisers
    1. PowerPoint Presentation
    2. OCIE Risk Alert: Compliance Issues Related to Best Execution by Investment Advisers
    3. SEC Division of Examinations Risk Alert: Observations Regarding Fixed Income Principal and Cross Trades by Investment Advisers from An Examination Initiative
    4. William Birdthistle Remarks at PLI: Investment Management 2022, SEC
11. Lunch: SEC Division of Investment Management: A Conversation with Director William Birdthistle (no materials)
12. Considerations for Retail Clients, Including Senior Investors
    1. PowerPoint Presentation
    2. Free Resources, Consumer Financial Protection Bureau – Office for Older Americans
    3. Data Spotlight: Suspicious Activity Reports on Elder Financial Exploitation, Consumer Financial Protection Bureau
    4. Financial institutions can help prevent elder financial exploitation with alerts to trusted contacts, Consumer Financial Protection Bureau
    5. Planning for diminished capacity and illness, Consumer Financial Protection Bureau
    6. State Report & Hold Laws
13. Considerations for Institutional Clients
    1. PowerPoint Presentation
    2. Outline
14. Managing Private Equity Funds and the SEC’s Private Fund Adviser Rulemaking
    1. PowerPoint Presentation
    2. Outline
    3. SEC Division of Examinations Risk Alert: Observations from Examinations of Private Fund Advisers
15. Managing Registered Investment Companies: Adviser and Sub-Adviser Considerations
    1. PowerPoint
    2. Regulatory Alert Packet
16. Cybersecurity and Data Privacy
    1. PowerPoint
    2. Recent SEC EXAMS Risk Alert Highlights Key Considerations for Reg S-ID Compliance, Debevoise & Plimpton
17. ESG Investing
    1. Outline
    2. In the Matter of Wahed Invest LLC
    3. In the Matter of Goldman Sachs Asset Management, L.P.
    4. In the Matter of BNY Mellon Investment Adviser, Inc.
    5. SEC Division of Examinations Risk Alert: The Division of Examinations’ Review of ESG Investing

Tuesday

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18. Ethics for Advisers: Compliance with Fiduciary Standards – Part 1
    1. PowerPoint
19. Hot Topics from Inside the Beltway (no materials)
20. SEC Examination Trends
    1. PowerPoint Presentation
    2. Production Chart
    3. 2023 Examination Priorities, SEC Division of Examinations
21. Compliance Testing and Use of Technology
    1. PowerPoint Presentation
    2. Modern Compliance: Best Practices for Securities & Finance Volume II – Chapter 22: The Future of Compliance
22. Marketing Rule: Performance
    1. PowerPoint Presentation
    2. K&L Gates Marketing & Advertising Checklist
23. Prevention of Misuse of MNPI and Insider Trading: Alternative Data and Expert Networks
    1. PowerPoint Presentation
    2. SEC Division of Examinations Risk Alert: Investment Adviser MNPI Compliance Issues
24. Considerations for Investing in Digital Assets for Clients
    1. PowerPoint Presentation
    2. Arbor Digital’s Compliance Approach to Digital Assets
25. Lunch: A Conversation with SEC Divisions of Examinations and Enforcement (no materials)
26. Internal and External Supervision: Oversight of Third-Party Service Providers and Employees: Breakout 1: Small Firms
    1. PowerPoint Presentation
    2. Outline
27. Internal and External Supervision: Oversight of Third-Party Service Providers and Employees: Breakout 2: Medium Firms
    1. PowerPoint Presentation
    2. Outline
    3. Outsourcing & Vendor Due Diligence Matrix
    4. The Business Case for Managed Services, SS&C Advent
    5. Advent Managed Services Console, SS&C Advent
28. Internal and External Supervision: Oversight of Third-Party Service Providers and Employees: Breakout 3: Large Firms
    1. PowerPoint Presentation
    2. Oversight of Service Providers: Two Regulatory Approaches, Pickard Djinis & Pisarri
    3. Vendor Relationship Management Program Overview 2023, Invesco
29. Ethics for Advisers: Compliance with Fiduciary Standards – Part 2
    1. PowerPoint Presentation
    2. Outline
30. IAA Information
31. Dining Guide