Conference Materials

Attendee List

• By Firm
• By Attendee Type

Conference Information

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

Thursday

Download all Thursday materials (.zip file)

4. SEC Division of Investment Management: A Conversation with Director William Birdthistle (no materials)
5. A Conversation with SEC Divisions of Examinations and Enforcement
   1. 2024 Examination Priorities, SEC Division of Examinations
   2. Risk Alert: Observations from Examinations of Newly-Registered Advisers, SEC Division of Examinations
   3. Risk Alert: Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents, SEC Division of Examinations
   4. Information for Entities Subject to Examination by the Securities and Exchange Commission, SEC
   5. Compliance Outreach Program National Seminar 2022
6. AI, Behavioral Prompts, and Other Emerging Technology – Risk Governance and Conflicts Management
   1. PowerPoint
   2. Session Outline
7. New Private Fund Adviser Rules
   1. PowerPoint
   2. Outline
   3. SEC Adopts Significant Rule Changes for Private Fund Advisers (Part 2 of 2), Kirkland & Ellis
8. Smaller Advisers: Making the Most of Compliance
   1. PowerPoint
9. Registered Investment Companies Update
   1. PowerPoint
   2. Session Outline
10. Hot Topics from Inside the Beltway (no materials)
11. Marketing Rule Compliance: Best Practices
    1. PowerPoint
12. Compliance 101
    1. PowerPoint
    2. Session Outline
    3. Regulatory resources to help CCO’s design sustainable compliance programs, Bates Group
    4. Speech by SEC Staff: Remarks at the Compliance Outreach Program
    5. SEC Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest
    6. The Role of the CCO – Empowered, Senior and With Authority, Speech by Peter B. Driscoll
    7. Findings Log 2024 [Excel]
    8. Review Cover Sheet Template 2024 [PDF] or [Word]
    9. Risk Assessment Sample 2024 [Excel]
    10. Risk Management Questionnaire
    11. Twenty-Three Potential Compliance Pitfalls in the SEC’s New Private Fund Rules, Kroll
    12. AI Risks and Compliance Strategies, Kroll
    13. Thirteen Questions Every Principal/CEO Should Ask Their Compliance Department Today, Kroll
13. InfoSec: Data Privacy and Regulation S-P
    1. PowerPoint
14. ERISA/DOL: Investment Advice Fiduciaries Rule and Other Developments
    1. PowerPoint
    2. Outline
15. Off-Channel Communications – Recordkeeping Obligations and the Use of Personal Devices and Messaging Apps
    1. PowerPoint
    2. Sample Business Communications Certification
    3. Sample Business Communications Search Terms
    4. Press Release: Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures, SEC
    5. In the Matter of Deutsche Bank Securities Inc., DWS Investment Management Americas, Inc., and DWS Distributors, Inc.
    6. In the Matter of Wedbush Securities Inc.
    7. In the Matter of Perella Weinberg Partners LP; Tudor, Pickering, Holt & Co. Securities LLC; and Perella Weinberg Partners Capital Management LP
    8. In the Matter of Guggenheim Securities LLC and Guggenheim Partners Investment Management LLC
16. ESG Investing and Compliance: Adapting to the Changing Environment
    1. PowerPoint
    2. Session Outline
17. DEI in the Investment Management Industry – Developments and Next Steps
    1. PowerPoint

Friday

Download all Friday materials (.zip file)

18. Ethics for Advisers: Compliance with Fiduciary Standards – Part 1
    1. PowerPoint
    2. Outline
19. Fireside Chat with SEC Chair Gary Gensler (no materials)
20. Cybersecurity Programs: Smaller & Medium Firms
    1. PowerPoint
    2. Session Outline
21. Cybersecurity Programs: Large Firms
    1. PowerPoint
    2. The SEC’s 2024 Examination Priorities: Continued Scrutiny of Cybersecurity Policies and Procedures, Debevoise & Plimpton
    3. SEC Adopts New Cybersecurity Rules for Issues, Debevoise & Plimpton
    4. Hackers Turned Whistleblowers: SEC Cybersecurity Rules Weaponized Over Ransom Threat, Debevoise & Plimpton
    5. SEC Adopts New Cybersecurity Rules for Issues – Part 2 Key Takeaways, Debevoise & Plimpton
    6. A Late Winter Blizzard of SEC Cybersecurity Rulemaking: the Proposed BD Cybersecurity Rules and Expanding Reg S-P and Reg SCI Obligations, Debevoise & Plimpton
    7. SEC Cybersecurity Rules: FBI, DOJ and SEC Publish Guidance on Disclosure Delays, Debevoise & Plimpton
22. Private Equity Fund Advisers: Hot Topics in SEC Examinations
    1. Session Outline
    2. Exams of Private Fund Advisers: 2024 Exam Priorities
    3. Risk Alert: Observations from Examinations of Private Fund Advisers, SEC Division of Examinations
23. Compliance in the Era of M&A
    1. PowerPoint
24. Use of AI in Investing and Compliance
    1. Disruptive Technology Views: Achieving better investment outcomes with AI, Franklin Templeton Institute
25. Outsourcing and Vendor Due Diligence: Smaller & Medium Firms
    1. PowerPoint
    2. Session Outline
    3. Sample Vendor Questionnaire [PDF] or [Excel]
26. Outsourcing and Vendor Due Diligence: Large Firms
    1. PowerPoint
    2. Session Outline
27. Safeguarding/Custody
    1. PowerPoint
    2. Safeguarding Client Assets: SEC Proposes Overhaul of Adviser Custody Rule, Dechert LLP
    3. SEC Charges Four Investment Advisers with Violations of the Custody Rule
28. Proxy Voting
    1. PowerPoint
    2. Session Outline
29. Ethics for Advisers: Compliance with Fiduciary Standards – Part 2
    1. PowerPoint

Other

30. IAA Information
31. Dining Guide
    1. Michelin Recommended Restaurants
    2. Quick Eat Suggestions