Regulatory Compliance Association Reviews

2015 OCIE Priorities – Exclusive Insights From Current Examinees™

Practice Edge 02

2015 OCIE Priorities – Exclusive Insights From Current Examinees™

Date: January 22, 2015
General Session: 12 Noon to 1:30 PM
Location: Webcast (Free)

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This session will discuss recent examination experiences, with a focus on both the examination process and areas of regulatory focus during examinations. Session participants include general counsel and chief compliance officers of a number of blue chip investment managers and a senior partner from a prominent investment management law firm.

 Students will master the following at the conclusion of this session:

• Defining and distinguishing different types of Examinations
• Comprehend Regulatory Staff preparations for each type of Inspections or Audit
• Identify the underlying purpose for various requests for information
• Recognize the impact of examination and enforcement priorities
• Effectively manage the Examination, e.g., interaction between firm personnel and Exam staff
• Prioritize deficiencies and key elements of an effective response to the Examination Staff

Session Chairman:
Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:
Rory Cohen, JD, Partner, Mayer Brown

Guest Lecturers:
Mark Polemeni, JD, Chief Compliance Officer & Associate General Counsel, Citadel Investment Group
Dianne Mattioli, JD, Chief Compliance Officer, RCSI-Group
John Roth, JD, General Counsel & Chief Compliance Officer, Venor Capital
Jeffrey Schultz, JD, Chief Legal Officer & Chief Compliance Officer, Phoenix Investment Adviser LLC
Tanya A. Kerrigan, JD, General Counsel & Chief Compliance Officer, Boston Advisors LLC
Beth Haddock, JD, Managing Director & Head of Institutional Compliance, Guggenheim Investments

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