West Coast Regional Meeting
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Program Highlights:
| 10:00 – 10:30 a.m. | Registration |
| 10:30 – 10:35 a.m. |
Welcome Al Guinto, Investment Manager Services Mark Trousdale, Director, Client Experience |
| 10:35 – 11:50 a.m. | Major Barriers to Operational Efficiencies and Risk Management
Peter Poulin, Principal
Panelists:
Pressures on operational units is only increasing with unprecedented new regulations, exciting new technologies, new products and markets being established. Each year, operational units are expected to do more with less in a more controlled risk-managed environment. The panelists have backgrounds ranging from asset management firms, service providers, consultancy, and software development. They will discuss the roadblocks and ideas to optimize operational efficiency, quality, and controls; including suitable attributes for compliance and risk management roles within operations. |
| 12:00 p.m. – 1:45 p.m. |
Luncheon and Keynote Address
Keynote Speaker:
Steve Hoffman, Managing Director
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| 1:45 – 2:00 p.m. |
Break |
| 2:00 – 3:15 p.m. |
Recent Enforcement Cases & Compliance Hot Topics Panel Presentation
Panelists:
David Hearth, Partner, Corporate Department
Stacey Helmeyer
Matthew O'Toole, Senior Special Counsel, Office of Regulation
Charles Park, Chief Compliance Officer, iShares This expert panel will review trends from recent enforcement cases and discuss best practices that firms should consider to mitigate legal and compliance risks due to the heightened examination and enforcement activity of securities regulators. The panel will also cover current compliance hot topics including valuation and counter party risk. |
| 3:15 – 3:30 p.m. |
Closing Remarks |
| 3:30 – 5:00 p.m. | Networking Reception MarketBar Cafe
Sponsored By:
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