Institute for International Research

1:30-4:00
Destination Compliance: Checklist for Preparing for and Surviving an SEC Review

• Best practices for assessing risks and mapping procedures
  
• Conducting thorough in-house audits
  
• Insights into risk assessment profiles
  
• Determining the documents required during an SEC examination
  
• Strategies for managing past records… and what to keep easily accessible
  
• Developing best execution policies and trading procedures that stand up for review
  
• Identifying the hot red flags of today, and what will be under scrutiny in the future
  
• Reviewing existing compliance programs to pinpoint weaknesses
  
• Delegating in-house staff to prepare for all factions of the review year round
  
• Working with the SEC during audits
  
• Practices to have in place when working with service providers
  
• The benefits of third party evaluations, including SAS 70 reviews and mock SEC inspections AND How to determine when to form a broker dealer and use registered representatives… when it's appropriate

Gerald Ranzal, Partner
ANCHIN, BLOCK & ANCHIN

Barry Schwartz, Partner
ADVISOR COMPLIANCE ASSOCIATES

Richard Biegen, Managing Director, Director of Global
Compliance
AIG GLOBAL INVESTMENT GROUP

There will be a 15 minute break during the workshop