Wednesday, October 28, 2015

12:00pm-1:00pm Pre-Conference Workshop Registration - General Session
1:00pm-1:15pm Opening Remarks - General Session
1:15pm-2:30pm Current SEC Examination Priorities-General Session
2:30pm-3:30pm Email Surveillance - Lessons from the ARC-General Session
3:30pm-4:00pm Exhibitor Preview Break

Select a session:

  • Private Funds - Focus on Fees and Expenses 
  • Portfolio Management Books and Records
5:3pm-7:30pm Welcome Reception


Thursday, October 29, 2015

7:30am-8:30am Registration/Breakfast
8:30am-8:45am Opening Remarks-General Session
8:45am-9:30am Keynote Address-General Session
9:30am-10:45am Enterprise Risk Management for Asset Managers – Lessons From Industry Practitioners-General Session
10:45am-11:00am Coffee Break
Cybersecurity Breakout Sessions - Select a session
Firms that utilize external IT providers and service primarily retail clients and investors
Firms that utilize external IT providers and service primarily institutional clients and investors
Firms that rely primarily on internal IT staff
12:00pm-1:00pm Buffet Lunch
1:00pm-1:30pm Exhibitor Introductions-General Session
1:30pm-2:30pm Disclosing Conflicts of Interest - How much is enough?-General Session
Select a session -Investment Risk Management for CCOs or
Performance Calculations and Reporting-Challenges for Private Fund Managers
3:40pm-4:00pm Exhibitor Preview Break
Select a session
  • Anti-money Laundering Programs for Investment Advisers
  • Operational Due Diligence - Industry Best Practices
5:30pm-7:30pm Networking Reception


Friday, October 30, 2015
7:30am-8:30am Breakfast
Peer Groups - Select a session
  • Private Equity Managers
  • Hedge Fund Managers
  • Diversified Financial Investment Managers
Select a session
  • Performance Calculation and Reporting - Mitigating Regulatory Risk
  • Investment Company Hot Topics
10:40am-11:00am Exhibitor Preview Break
11:00am-12:00pm Managing an Exam From an Examiner's Perspective - General Session
12:00pm-12:15pm Closing Remarks - General Session
12:15pm End of Conference