U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

CCOutreach National Seminar

Investment Adviser, Investment Company, and
Broker-Dealer Chief Compliance Officers

January 26, 2010

Agenda

7:30 am – 8:30 am

Registration

8:30 am

Welcoming Remarks — Chairman Schapiro

8:45 am

Introductory Remarks: Compliance Programs Today

9:15 am

Regulatory and Compliance Hot Topics

  • Lessons Learned from Recent Events
  • Challenges Faced in Turbulent Markets
  • Mergers and Acquisitions
  • Custody

10:30 am

Break

10:45 am

Investment Adviser/Investment Company Examination Program

  • Priorities
  • Coordination and Communication

12:00 pm

Lunch Break

1:15 pm

Administering Compliance and Annual Reviews

  • Staff Observations
  • Five Years of Compliance: Lessons Learned by CCOs
  • Internal Controls and Risk Management
  • Documentation and Testing

2:30 pm

Break

2:45 pm

Broker-Dealer Examination Program

  • Priorities
  • Coordination and Communication
  • Outside Business Activities

4:00 pm

Overseeing the Trading Process

  • The CCO's Role
  • Managing the Trading Process
  • Trading on Non-Public Information
  • Alternative Investments
  • High Speed Trading

5:15 pm

Closing remarks

 

http://www.sec.gov/info/cco/ccons2010agenda.htm

Modified: 10/28/2009