During each CCO University Outreach Program, the panel will provide a current update on the subject area and answer a series of questions submitted by the attendees.

Please find below a list of forthcoming Outreach Program(s).

UPCOMING OUTREACH SERIES PROGRAMS

Regulatory Investigations - What You Should Know But Were Afraid To Ask
Part 2 of a 2 Part Series

Wednesday, July 30, 2008
12 Noon to 1 PM Eastern

In today's environment, inquiries from the SEC continue to escalate. In order to preserve your reputation and enterprise value, asset management executives must understand how to identify and assess the character, nature and scope of an SEC inquiry.

Without this understanding, a firm may turn an informal inquiry into an intrusive investigation.or worse, a criminal action.

The CCO University faculty shall provide an in depth and candid discussion of the SEC’s investigative and enforcement action process, including:

• The ways in which enforcement investigations begin and how they evolve;
• Coordination between various SEC divisions and Enforcement;
• Similarities and differences between informal and formal investigations;
• The importance of "cooperation" and receiving "credit for cooperation";
• "Wells Notices" and the Wells process;
• Negotiating a resolution;
• Regulatory penalties and sanctions.
• What it means to "cooperate" in a regulatory investigation and how you can get "credit for cooperation".

In order to protect your firm, asset management executives should understand how to best address an inquiry, the stages of an investigation and the firm’s rights during the process.

Most importantly, from a public relations perspective, learn how firms should position themselves to minimize the negative impact.

Event Chairman:

Walter Zebrowski, JD, CPA, CIO, Hedgemony Partners
   Chairman, Regulatory Compliance Association

Moderator:

Harry Davis, Partner, Schulte Roth & Zabel

Panelists:

Simon Lorne, Vice Chairman, Millenium Partners

Walter Ricciardi, JD, Deputy Director, SEC Division of Enforcement

Joan McKown, JD, Chief Counsel, SEC Division of Enforcement

To register for this Outreach Webcast and submit questions to the panel click here.

To learn more about the RCA’s CCO University Outreach Program click here.


Please call the RCA for more information, 800-306-6133