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| Agenda at a Glance
Agenda at a Glance
|
| Monday, September 14, 2009 | Main Forum • DAY ONE |
| 8.00 |
Morning Registration |
| 9.00 |
Executive Co-Chairs’ Opening Remarks
Katie Kloster, Chief Compliance Officer – Mutual Funds, Thrivent Financial
Frank Knox, Chief Compliance Officer, John Hancock Mutual Funds |
| 9.10 |
Executive Speaker’s Opening Remarks
John Brennan, Chairman,
Vanguard |
| 9.45 |
The New Era of Responsibility I: Defining How Regulators will Shape Transparency and Disclosure Protocols in a Year of Renewed Enforcement in Compliance and Risk Management
Susan Merrill, Chief of Enforcement, FINRA
Luke Brown, Associate Director for Compliance Policy — Division of Supervision and Consumer Protection, Federal Deposit Insurance Corporation
Mary Ann Gadziala, Associate Director – Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission |
| 10.40 |
Morning Break |
| 11.10 |
The New Era of Responsibility II: A Conversation with CCOs about Disclosure & Participation in an Era of Increased Protection of the Investor
Frank Knox, Chief Compliance Officer, John Hancock Mutual Funds
Todd Kuehl, Chief Compliance Officer, Legg Mason
Peter Maftieu, Chief Compliance Officer, The Russell Companies
Daniel Wright, Chief Compliance Officer, Jackson National Life Distributors |
| 11.45 |
Addressing Noted Blind Spots in Enforcement and Oversight and Establishing Principles-Based Methodologies that Better Manage Risk and Compliance, and Deliver Consumer Protections
Ann Jaedicke, Deputy Comptroller of Compliance Policy, Office of the Comptroller of the Currency |
| 12.15 |
Executive Luncheon
Table Discussions Led by the RRC Advisory Board:
John Robbins, Global Chief Compliance Officer, AIG Investments
Jason Rein, Global Chief Compliance Officer, Deutsche Asset Management
Katie Kloster, Chief Compliance Officer – Mutual Funds, Thrivent Financial
*Sign up for a table onsite |
track |
A: Risk and Operations |
B: Compliance and Regulation |
| 1.30 |
Managing Risk for Opportunity’s Sake: Building a Business Operation that Marries Efficiency and Growth with Regulations
Katie Kloster, Chief Compliance Officer – Mutual Funds, Thrivent Financial
Debbie Galka, VP, Head of Investment Risk Management, Riversource Funds |
Strengthening Investor Disclosures and Boosting Investor Trust within a New Compliance Framework
Peggy Chastain, Vice President — Securities Compliance/Risk & Compliance, Fidelity Investments—PWI Compliance |
| 2.15 |
Risk Modeling and Metrics During an Era of Unprecedented Economic Indicators
Rob Shoemaker, Compliance Leader, GE Transportation |
Embedding Compliance into a Financial Business or Investment Management Culture
Mary Mullin, Chief Compliance Officer, Promark Global Advisors |
| 3.00 |
Discussion Period |
| 3.30 |
Managing Internal and Third-Party Risk to Protect the Business and the Investor in a Coordinated Approach with Regulators
Thomas Biolsi, Associate Regional Director — Examinations, U.S. Securities and Exchange Commission
Will O’Rielly, Senior Vice President, SunTrust Investment Services |
Building Fluid Business and Compliance Processes in a Year of Fast-Moving Regulatory Change
Kate Murtagh, Chief Compliance Officer, Harvard Management Company |
| 4.15 |
Strategic Clinic Tables, Hosted by Risk and Compliance Experts
Table 1 – Money Market Funds – What is the Buzz?
Table 2 – Investor Relations Revisited
Table 3 – To Disclose or Not to Disclose?
Table 4 – Strategies for Effective Regulation and Monitoring – From the Mouths of AML Officers
Table 5 – Transparency: Taking a Clear Look at Transparency & Governance Methodologies
Table 6 – Resourcing and Staffing Your Risk and Compliance Department
Table 7 – Technology and Support for Risk Management
Table 8 – To Lend, or Not To Lend: Assessing Economic Outlook and Regulatory Requirements |
| 5.30 |
End of Executive Forum – Day One |
| Tuesday, September 15, 2009 | Main Forum • DAY TWO |
| 9.00 |
Morning Registration |
| 9.30 |
Co-Chair’s Opening Remarks
Katie Kloster, Chief Compliance Officer – Mutual Funds, Thrivent Financial |
Co-Chair’s Opening Remarks
Frank Knox, Chief Compliance Officer, John Hancock Mutual Funds |
track |
A: 360 Degrees Risk Management |
B: Regulatory Framework |
| 9.40 |
See Risk, Hear Risk, Speak Risk: Creating the Holistic Risk Modeling System
Michael Carhill, Director – Risk Analysis, Office of the Comptroller of the Currency |
Tracking the Evolution of Basel II and Preparing Internal Teams for Regulatory Oversight and Enforcement
Akhtar Siddique, Risk Management Division, Office of the Comptroller of the Currency |
| 10.15 |
Risk Management as Value Creator: Lessons that Work for Every Risk Manager
Matthew Buckley, Chief Executive Officer, PEAK6 Investments, LLC
Drew Gunn, Director – Specialty Risk, Oswald Companies |
Disclosure, Sales Relationships, New Product Development and Protecting Clients
Steve Mullooly, Chief Compliance Officer, Schafer-Cullen |
| 10.45 |
Networking Break |
| 11.15 |
Developing a Post-Crisis Risk Management Methodology
Brett Rogers, Head of Risk Management
Governance, Deutsche
Asset Management and Chief Compliance Officer,
Germany Funds
Andre Burrell, Chief Compliance Officer, IDB Bank |
Mastering Compliance Against Unfair and Deceptive Practices – Implementing Business and Management Solutions in Line with Regulatory Change
Fran Bedokovic, Chief Compliance Officer, 1st National Bank of Chester County
Jennifer Grove, Fraud Prevention Supervisor, Golden One Credit Union |
| 11.40 |
Implementing Mission Critical Risk Programs During Sharp Economic Distress
Joe Soniat, BSA Administrator, Union Bankshares
Steve Zweig, Adjunct Professor – Math and Statistics, Fairleigh Dickinson University |
Expectations about Compliance Strategies in a New Era of Responsibility
Beth Haddock, Chief Compliance Officer, Brown Brothers Harriman & Co. |
| 12.15 |
Luncheon |
| 1.15 |
Preparing for the Unknown: What Financial Institutions Can Do To Protect Reputation in an Era of Financial and Criminal Risk
Celina Realuyo, Professor of Global Risks, National Defense University, School for National Security Education |
| 2.15 |
Structuring Internal Vigilance Practices to Protect Reputation in 2009 – 2010
Dennis Wood, Assistant Director – Office of Foreign Assets Control, Department of the Treasury
William Tesler, Chief AML Compliance Officer, BNY ConvergEx Group, LLC
Jason Vazquez, Chief Compliance Officer – AML, Deutsche Asset Management |
| 3.20 |
Discussion Period |
| 3.50 |
Re-Calibrating the Industry: From “Tick-the-Box” Silos to a Proactive Risk and Compliance Culture across an Institution, Large and Small
John Robbins, Global Chief Compliance Officer, AIG Investments
Victor Frye, Chief Compliance Officer, ProFunds Advisors
Jason Rein, Global Chief Compliance Officer, Deutsche Asset Management |
| 4.40 |
The New Era of Responsibility III: Taking a Strategic View to Spot a Recovery
Arthur MacMahon, Director – Economic Outlook and Bank Conditions, Office of the Comptroller of the Currency
Alex Basden, Senior BSA Specialist, Internal Revenue Service |
| 5.20 |
End of Executive Forum |
| September 16, 2009 | Master Classes Wednesday |
| 8.30AM |
Morning Registration for Master Class Attendees |
| 9.00AM-12.00PM |
AM Master Class
Enterprise Risk Management and Auditing / Accounting to Aid Regulators and Prepare for Examinations |
| 12.00PM |
Luncheon for Master Class Attendees |
| 1.00PM-4.00PM |
PM Master Class
Tackling Basel II Changes in a New Regulatory Environment |
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