Adviser. Compliance. Forum
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1 Financial Research Associates LLC Proudly Presents Our Annual Investment Learn How to Adhere to the New Compliance Rule, and How to Establish the Role of the Compliance Officer Adviser May 27-28, 2004 The New York Helmsley Hotel New York City Compliance Forum You ll hear presentations and case studies from: US Securities and Exchange Commission Adviser Compliance Associates AIG Global Investment Group First American Trust, FSB Goldman, Sachs & Co. ING Furman Selz Asset Management Investment Counsel Association of America Kirkpatrick & Lockhart LLP Kramer, Levin, Naftalis & Frankel LLP Mayer, Brown, Rowe & Maw Morgan Lewis & Brockius LLP National Compliance Services Pickard and Djinis LLP Schulte Roth & Zabel LLP Seward & Kissel LLP Special Thanks to Our Media Partners A cornerstone meeting for investment advisers and compliance officers to get up to speed on the evolving regulatory landscape. This forum will provide comprehensive information about new regulatory and current compliance hot buttons including: The new compliance rule The role of the compliance officer The nuts and bolts of the SEC s risk-based exam program Hedge fund compliance what you really need to know Establishing an effective anti-money laundering ID program Proxy disclosure The revised custody rule Best execution and brokerage practices Marketing and performance advertising CLE and CPE credits available!* Register Today! Call or visit us at
2 Dear Colleague, Last year s buzz words were Enron, WorldCom, and Global Crossing. This year, the name Elliott Spitzer is on the tongues of everyone involved in compliance and regulatory issues. The recent debacles and enforcement actions have set into motion dramatic legislative, regulatory and policy revisions that have seriously reshaped corporate accountability and regulatory supervision as we know it. Now, perhaps more than ever, it is paramount that you stay abreast of the new standards. To this end, Financial Research Associates, LLC, is proud to present The 2004 Investment Advisers Compliance Forum, a fully-comprehensive, two-day regulatory summit designed exclusively for compliance officers. This year, the overriding theme of the conference is how to adhere to the new compliance rule, and how to establish the role of the compliance officer. We will have an intensive two-and-a-half hour session on this topic covering: The expectations of the SEC s release Who can be a compliance officer? Should you consider renting a compliance officer? Defining adequate compliance policies and procedures Annual review and testing - who can do this? And much more Furthermore, at this forum, you will learn from our seasoned experts: The nuts and bolts of the SEC s risk-based exam program Hedge fund compliance what you really need to know Establishing an effective anti-money laundering ID program Proxy disclosure The revised custody rule Best execution and brokerage practices Marketing and performance advertising And more The Investment Adviser Compliance Forum is intended solely for the purpose of education and discussion. Financial Research Associates does not market or endorse any products or services, so please enjoy, discuss and learn. Register today! Call or register online at Sincerely, April Johnson, Conference Director FINANCIAL RESEARCH ASSOCIATES LLC PS. You won t want to miss the nuts and bolts session on the SEC s risk-based examination process. Gene Gohlke of the SEC s Office of Compliance and Inspections and Exams will be on hand to teach the session as well as answer any questions you may have. Who Should Attend? The 2004 Annual Investment Adviser Compliance Forum is designed specifically for compliance officers from investment management firms. Why You Can t Afford to Miss This Event Get the most up to the minute information on implementing the new compliance rule! Here directly from the SEC on how to successfully pass the risk-based exam! Understand what you need to know with regard to hedge fund compliance! Learn to establish an effective AML ID program! Get the latest guidelines for proxy disclosure! Hear from top-notch practitioners and experts! Rave Reviews From Last Year s Forum: "Good topics, good speakers, good handouts!" "Great topics and quality speakers all speakers are worth inviting back!" "A very good balance of practical advice and broad discussions on compliance issues." The Conference Sponsor Financial Research Associates provides the financial community with access to vital business information and networking opportunities. Offering highly targeted conferences, FRA is a preferred resource for executives and managers seeking cutting-edge information on the next wave of business opportunities. Point your browser to frallc.com for more information on upcoming events.
3 Thursday, May 27th, :00 Conference Registration and Continental Breakfast 9:00 9:15 Chairs Welcome Chairmen: Michael R. Butowsky, Partner MAYER, BROWN, ROWE & MAW Richard Marshall, Partner 9:15 11:30 Implementing the New Compliance Rule and the Role of the Compliance Officer Understanding the expectations of the SEC s release Who can be a compliance officer? Should you consider renting a compliance officer? Defining adequate compliance policies and procedures Annual review and testing - who can do this? Understanding whether s need to be reviewed Speakers: Jay Baris, Partner KRAMER, LEVIN, NAFTALIS & FRANKEL LLP Michael S. Caccese, Partner Kenneth S. Gerstein, Partner Please note: There will be a fifteen-minute refreshment break at 10:45. 11:30 12:45 Luncheon for Conference Delegates and Speakers 12:45 1:45 The Nuts and Bolts of the SEC s Risk-Based Examination Program Elements of the program: - Overview of current "hot buttons" - Determining your firms risk profile - The Error Log: When and how to protect it, when to disclose it - Reporting violations to the SEC How to prepare for the exam: - Getting acquainted with the risk list, how to answer questions - Surprise exam do s and dont s Update on whether the SEC will revert to the former form of testing Speakers: Richard S. Biegen, Managing Director, Director of Global Compliance AIG GLOBAL INVESTMENT GROUP Gene Gohlke, Associate Director OFFICE OF COMPLIANCE INSPECTIONS AND EXAMS, US SECURITIES AND EXCHANGE COMMISSION 1:45 2:30 Books and Records Comprehensive: Electronic Record Keeping A comprehensive review of the books and records rules and regulations including: - Journal ledger, trial balance - Securities purchase records - Canceled checks, paid and unpaid bills - Substantiation of performance advertising - Evidence of discretionary authority - Evidence of compliance with the brochure rule - Disaster recovery - Electronic record keeping The 20 most commonly made compliance mistakes and violations including: - Weak internal controls - Improper clauses in advisory agreement - Failure to comply with insider trader statute - Failure to comply with the personal securities transaction rules Jeffrey Kelvin, J.D., LLM NATIONAL COMPLIANCE SERVICES 2:30 2:45 Mid-Afternoon Refreshment and Networking Break 2:45 3:30 Hedge Fund Compliance: What You Need to Know Proposed regulations: Registration and reporting Trade allocation Performance-based fees Disclosure to investors Internal controls: Policy and procedures Conflicts associated with managing these vehicles alongside mutual funds Marketing these vehicles directly and indirectly to retail investors Moderator: Jeffery C. Morton, Partner ADVISER COMPLIANCE ASSOCIATES Panelists: Gerald T. Lins, General Counsel ING FURMAN SELZ ASSET MANAGEMENT David Nissenbaum, Partner 3:30 4:15 Complying With Anti-Money Laundering Legislation Understanding the controls requirements under the 2002 PATRIOT Act Monitoring AML programs Establishing effective ID programs OFAC compliance Challenges for AML compliance officers Unregistered investment companies Certification Karen L. Barr, General Counsel INVESTMENT COUNSEL ASSOCIATION OF AMERICA 4:15 5:00 Adviser Disclosure Requirements The recent flurry of SEC rules has been accompanied by new client disclosure obligations and advisers need to plan to meet these requirements. This session will cover the new requirements, including: Custody arrangements and quarterly account statements Proxy voting policies and procedures and availability of adviser s proxy voting record Disclosure of chief compliant officer Code of ethics Kathleen K. Clarke, Counsel SEWARD & KISSEL LLP 5:00 Day One Concludes
4 Friday, May 28th, :15 Continental Breakfast 9:15 10:30 The Revised Custody Rule Handling the implications of the revised custody rule How fund of funds are handling the rule Kelli L. Moll, Partner 10:30 11:15 Best Execution & Brokerage Practices: Soft Dollars, Directed Brokerage Best practices Utilizing third party best execution reports: Pros and cons Understanding the internal review process and procedures; how to document the reviews Trade errors to avoid Retaining brokers Evaluating brokerage firms Directed broker arrangements Trade sequencing Soft dollars Trade aggregation and allocation Side by side trading with proprietary accounts Speakers: Steve Stone, Partner MORGAN LEWIS & BROCKIUS LLP Peter Bonanno, Vice President, Associate General Counsel GOLDMAN, SACHS & CO. 11:15 Mid-Morning Refreshment and Networking Break 11:30 12:15 Marketing & Performance Advertising Institutional clients AIMR and beyond: What consultants seek Marketing for mutual funds the new SEC rule Wrap-Fee/Managed accounts challenges of satisfying AIMR-PPS TM requirements, meeting the needs of sponsor firms and your sales team Databases Performance reporting challenges Michelle L. Majchrzak, VP, Legal Counsel of Investments & Chief Compliance Officer FIRST AMERICAN TRUST, FSB 12:15 1:00 The Key Elements of a Successful Compliance Program Preventing problems with effective supervision The supervisor s role Implementing clear procedures Surveillance tools Education Handling problems Testing for violations Learning from past mistakes Mari-Anne Pisarri, Partner PICKARD AND DJINIS LLP 1:00 Conference Adjourns The Distinguished Speaking Faculty Jay Baris, Partner KRAMER, LEVIN, NAFTALIS & FRANKEL LLP Karen L. Barr, General Counsel INVESTMENT COUNSEL ASSOCIATION OF AMERICA Richard S. Biegen, Managing Director, Director of Global Compliance AIG GLOBAL INVESTMENT GROUP Peter Bonanno, Vice President, Associate General Counsel GOLDMAN, SACHS & CO. Michael R. Butowsky, Partner MAYER, BROWN, ROWE & MAW Michael S. Caccese, Partner Kathleen K. Clarke, Counsel SEWARD & KISSEL LLP Kenneth S. Gerstein, Partner Gene Gohlke, Associate Director OFFICE OF COMPLIANCE INSPECTIONS AND EXAMS, US SECURITIES AND EXCHANGE COMMISSION Jeffrey Kelvin, J.D., LLM NATIONAL COMPLIANCE SERVICES Gerald T. Lins, General Counsel ING FURMAN SELZ ASSET MANAGEMENT Michelle L. Majchrzak, VP, Legal Counsel of Investments & Chief Compliance Officer FIRST AMERICAN TRUST, FSB Richard Marshall, Partner Kelli L. Moll, Partner Jeffery C. Morton, Partner ADVISER COMPLIANCE ASSOCIATES David Nissenbaum, Partner Mari-Anne Pisarri, Partner PICKARD AND DJINIS LLP Steve Stone, Partner MORGAN LEWIS & BROCKIUS LLP Earn CLE and CPE Credits CLE Credits: Approval for CLE credits in the state of New York is pending final approval of the conference documentation book. Please call Financial Research Associates for more information. CPE Credits: Financial Research Associates is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue N., Suite 700, Nashville, TN, NSBA phone number: ; website: *New York State CLE credits pending final approval of documentation book
5 Special Thanks to Our Media Parters Compliance Reporter (CR) is the leading securities industry source for timely news on compliance and regulation. Each issue breaks news on compliance strategy, new regulations, enforcement actions and shareholder lawsuits. Subscribers read Compliance Reporter to keep tabs on securities laws, track their competitors and prevent embarrassing compliance fiascoes. National Compliance Services (NCS) is a leading provider of registration and compliance services for investment advisers and broker dealers. NCS has been working with advisers and broker dealers since 1995 and currently services over 5,000 clients. Drawing on its extensive industry knowledge, NCS offers a combination of fast, reliable, and reasonably priced products and services to help Financial Planners navigate the complex regulatory environment. Fund Action is dedicated exclusively to the U.S. mutual fund industry. This newsletter includes exclusive, breaking-news and money-making industry intelligence, essential for all key decision makers and individuals involved in this market. The National Law Journal, the only national weekly legal news publication, provides analysis and perspective on trends, legislation and law firm news with national implications. The high-quality editorial product serves the needs of litigators, in-house counsel and transactional attorneys alike. Thompson Publishing Group, Inc. s Money Manager's Compliance Guide is an invaluable guide to what you can, cannot and must do to protect yourself in every major area of the investment management business. Coverage includes Securities and Exchange Commission (SEC) registration and inspections; advertising and solicitation; liquidity and portfolio turnover; trading practices; Employee Retirement Income Security Act, fiduciary responsibilities; commodities regulation; personal trading prohibitions; subchapter M; contractual arrangements; the SEC, Department of Labor (DOL), Commodity Futures Trading Commission (CFTC) and state Blue Sky enforcement powers. Go to for more information. Complinet is a market-leading supplier of information and software solutions to the international financial services industry. We specialize in compliance, regulation and human resources and are fast becoming the industry benchmark with more than 850 financial institutions worldwide relying on our business services. If you would like to find out how Complinet can help with your information, training and general compliance needs contact us today. Since 1995 the Corporate Governance site at CorpGov.net has facilitated the ability of institutional and individual shareowners to better govern corporations, enhancing both corporate accountability and the creation of wealth. News, links, commentary, and advocacy geared to the active investor. Important Information To Register: FAX h MAIL Financial Research Associates Cedar Drive Battle Ground, WA % CALL: f ONLINE: Fees and Payments: The fee for attendance at the 2004 Annual Investment Adviser Compliance Forum is: $1695 Please make checks payable to Financial Research Associates, and write code B212 on your check. You may also pay by Visa, MasterCard, or American Express. Purchase orders are also accepted. Payments must be received no later than May 20, Group discounts are available; for more information, please call Jim Clapes at or jclapes@frallc.com. For more information on exhibit opportunities or to learn more about sponsoring this event, please contact Ellen Wofford at or ewofford@frallc.com. Date and Venue: The 2004 Annual Investment Adviser Compliance Forum May 27-28, 2004 The New York Helmsley Hotel 212 E. 42nd Street New York, NY Note: In order to receive the discounted conference room rate, please be sure to mention the conference by name when reserving your room. All reservations must be made by April 27, 2004 for the discounted rate. Cancellations: If you cancel four weeks or more in advance of the conference, you can expect a full refund or voucher. Cancellations occurring two to four weeks prior to the conference date receive a $200 refund or a full voucher to another FRA event. If you cancel any time after May 13, 2004, you will receive a voucher, which can be used at any FRA event within the calendar year. Please Note: For reasons beyond our control it is occasionally necessary to alter the content and timing of the program or to substitute speakers. Thus, the speakers and agenda are subject to change without notice. In the event of a speaker cancellation, every effort to find a replacement speaker will be made. Enhance Your Marketing Efforts by Sponsoring this Event! Maximize your firm s exposure at this event by sponsoring a cocktail reception or custom-designed networking event. We can design custom sponsorship packages tailored to your marketing needs. To learn more about exhibit and sponsorship opportunities, please contact Ellen Wofford at or ewofford@frallc.com.
6 Financial Research Associates LLC Proudly Presents Our Annual Investment Adviser Compliance Forum A cornerstone meeting for investment advisers and compliance officers to get up to speed on the evolving regulatory landscape. Register Today! Call or visit us at The 2004 Annual Investment Adviser Compliance Forum TO REGISTER: FAX h MAIL Financial Research Associates Cedar Drive Battle Ground, WA % CALL: f ONLINE: Yes! Register me for the conference. Please call me; I m interested in a group discount for my team. Please call me; I m interested in exhibition or sponsorship opportunities at this event. I wish to receive updates on FRA s upcoming events via fax, and phone. Signature: METHOD OF PAYMENT: Check Credit Card P.O. CARD TYPE: MC Visa Amex Card number: Exp. Date: Signature Financial Research Associates 343 Soquel Avenue, Suite 334 Santa Cruz, CA Name on Card: PRSRT STD U.S. POSTAGE PAID BURLINGTON,VT PERMIT NO. 21 Make checks payable to Financial Research Associates, and write B212 on your check. Name Company Dept. Address Title PLEASE MENTION YOUR PRIORITY CODE: City State Zip Telephone: Fax: Conference Code: B212
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