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ARCHIVED VIDEO WEBCAST
Originally broadcast live on Tuesday, January 26, 2010

CCOutreach National Seminar for
Investment Adviser, Investment Company,
and Broker-Dealer Chief Compliance Officers

The CCOutreach program for Chief Compliance Officers (“CCOs”) is designed to further promote strong compliance practices for the protection of investors. The program is intended to foster communication about compliance risks and effective compliance controls, with the goal of helping CCOs foster stronger compliance programs within their firms. This seminar is intended to address the compliance issue and concerns for investment adviser, investment company, and broker-dealer CCOs. (more information)

Download the Seminar Handouts:
Agenda (doc) | PowerPoint Slides (PowerPoint) | Speaker Biographies (doc)

I. WELCOMING REMARKS:
CHAIRMAN SCHAPIRO
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II. INTRODUCTORY REMARKS:
COMPLIANCE PROGRAMS TODAY

Speakers:
- Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
- Stephen Luparello, Vice Chairman, FINRA
- Robert W. Cook, Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
- Andrew J. Donohue, Director, Division of Investment Management, U.S. Securities & Exchange Commission
Photo of di Florio

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III. REGULATORY AND COMPLIANCE HOT TOPICS
· Lessons Learned from Recent Events
· Challenges Faced in Turbulent Markets
· Mergers and Acquisitions
· Custody

Panelists:
- Mary Ann Gadziala, Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities & Exchange Commission
- Dan Campbell, Assistant Regional Director, Atlanta Regional Office, U.S. Securities and Exchange Commission
- James L. Eastman, Chief Counsel and Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
- Patricia (“Trish”) Flynn, Vice President and Chief Compliance Officer, INTECH Investment Management, LLC
- Gregory Johnson, Managing Director and Associate General Counsel, J.P. Morgan Chase & Co.
- Douglas J. Scheidt, Associate Director and Chief Counsel, Division of Investment Management, U.S. States Securities and Exchange Commission
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IV. INVESTMENT ADVISER/INVESTMENT COMPANY EXAMINATION PROGRAM
· Priorities
· Coordination and Communication

Panelists:
- Michael E. Garrity, Assistant Director, Boston Regional Office, U.S. Securities and Exchange Commission
- Dawn Blankenship, Assistant Regional Director, Investment Adviser and Investment Company Examination Program, New York Regional Office, U.S. Securities and Exchange Commission
- David W. Grim, Assistant Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission
- Thomas M. Piccone, Assistant Regional Director, Investment Adviser and Investment Company Examination Program, Denver Regional Office, U.S. Securities and Exchange Commission
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V. ADMINISTERING COMPLIANCE AND ANNUAL REVIEWS
· Staff Observations
· Five Years of Compliance: Lessons Learned by CCOs
· Internal Controls and Risk Management
· Documentation and Testing

Panelists:
- Martin Murphy, Associate Regional Director, Los Angeles Regional Office, U.S. Securities and Exchange Commission
- Carla J. Carriveau, Branch Chief, San Francisco Regional Office, U.S. Securities and Exchange Commission
- Lisa J. Henoch, Chief Compliance Officer, TD Ameritrade
- Robert Plaze, Associate Director for Regulation, Division of Investment Management, U.S. Securities and Exchange Commission
- Lori Renzulli, Chief Counsel and Chief Compliance Officer, Harding Loevner LP
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VI. BROKER-DEALER EXAMINATION PROGRAM
· Priorities
· Coordination and Communication
· Outside Business Activities

Panelists:
- Suzanne McGovern, Assistant Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
- Hans Reich, Senior Vice President and Regional Director, FINRA
- Michael Rufino, Senior Vice President and Deputy, Member Regulation, FINRA
- John H. Walsh, Associate Director - Chief Counsel, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

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VII. OVERSEEING THE TRADING PROCESS
· The CCO’s Role
· Managing the Trading Process
· Trading on Non-Public Information
· Alternative Investments
· High Speed Trading

Panelists:
- Bernard Denis, Senior Trading Specialist, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
- Gene Gohlke, Associate Director, Investment Company and Advisor Compliance, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
- Barbara Brooke Manning, Managing Director, General Counsel & Chief Compliance Officer, ClearBridge Advisors
- Karen Rossotto, Advisor to the Director, Division of Investment Management, U.S. Securities and Exchange Commission
- Charles (“Chuck”) V. Senatore, Senior Vice President and Head of Corporate Compliance, Fidelity Investments
- Josephine J. Tao, Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
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VIII. CLOSING REMARKS

- Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission

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Modified: 01/27/2010