West Coast Regional Meeting | OCTOBER 6, 2016


Capital Group Offices

333 South Hope Street, 55th Floor
Los Angeles, CA 90071




THEME | Looking Ahead: Regulatory & Compliance Hot Topics in 2016

Attend the West Coast Regional Meeting (WCRM) and you will:
  • Learn about the latest fund industry regulations and leading practices.
  • Discuss leading practice concepts with peers and thought-leader panelists.
  • Develop new partnership opportunities with influential decision makers and peers.
  • Gain a competitive advantage with new education and knowledge.


10:00 - 10:45 am


Breakfast Sponsored By:


10:45 - 11:00 am
Welcome Remarks
West Coast Committee Co-Chairs:
Kurt Decko, Chief Compliance Officer and Senior Legal Counsel, Causeway Capital Management LLC
Tony Seiffert, Chief Compliance Officer, Capital Group Companies
11:00 am - 12:15 pm

The Ramifications of Today's Unclaimed Property Audit & Enforcement Environment

Tara Altman, Senior Relationship Manager, Keane

Cynthia Nisley, President, Georgeson Securities Corp
Michael Ryan, Senior Vice President, Georgeson
Rene St. Clair, Director, Franklin Templeton Investments
Debbie Zumoff, Chief Compliance Officer, Keane

In recent years, the financial services industry has experienced a surge in unclaimed property audits and enforcement efforts. As a result, new questions and concerns have emerged in order to maintain compliance in an already complex regulatory environment. This panel discussion will address three of the most prevalent concerns that have surfaced in the auditors’ wake: (1) utilization and implementation of date of last contact (DOLC), (2) consolidated escheat reporting at the Fund and Transfer Agent levels, and (3) date of death and IRAs. The panel will outline compliance challenges and best practices for success.

12:15 - 1:45 pm

Luncheon & Keynote Address

Paul Roye, Senior Vice President, Fund Business Management Group, Capital Research & Management Company

Paul will discuss the current state of the SEC and what the Financial Industry may expect from a regulatory perspective both near and long term.

Prior to joining Capital Research in 2005, Paul was Director of the Division of lnvestment Management for the U.S. Securities and Exchange Commission, where he worked for three SEC Chairman and was among the most senior financial services regulators in the United States, with principal oversight for the investment management industry and public utility holding companies. During his tenure, he received the Chairman's Award of Excellence, the highest honor that can be bestowed upon an SEC staff member. Prior to becoming director, he was a member of the Washington office of the law firm of Dechert, where he was a partner in the firm's Financial Services, lnvestment Management and Corporate Securities Practice Group, specializing in the area of institutional investor law. His practice involved providing advice and assistance to a wide variety of domestic and foreign investment companies, as well as investment advisers, broker-dealers, banks and insurance companies.

Sponsored by:


1:45 - 2:00 pm
Transitional Break
2:00 - 3:15 pm

Regulatory Hot Topics and SEC Initiatives for 2016

Tamara R. Heller, Assistant Regional Director, U.S. Securities & Exchange Commission
Victoria P. Hulick, Senior Principal Consultant, ACA Compliance Group
Mark Perlow, Partner, Dechert LLP
David J Thelander, Managing Director, PwC

Over the past several months, the SEC and its staff, through a variety of guidance updates, public statements and enforcement actions, have set forth a series of initiatives that are – or soon will be – impacting virtually all regulated organizations. Panelists will discuss SEC exam priorities and enforcement focus areas for 2016 and beyond, current rulemaking developments and the latest thinking on how organizations and compliance teams can adapt to the shifting regulatory landscape and develop best practices to satisfy regulatory expectations.

3:15 - 3:30 pm
Closing Remarks
3:30 - 5:00 pm
Networking Reception










CANCELLATION DEADLINE: Thursday, September 29, 2016

Cancellations must be received in writing no later than 4:00 p.m. (Eastern Time) on the above date to qualify for a refund.  No refunds will be issued for cancellations received after the deadline.
Substitutions are permitted with advance written notice.
Please call NICSA at 508.485.1500 if you have any questions or need assistance.



HOTEL: There is no hotel block for this meeting.

Nearby hotels include:
The Westin Bonaventure Hotel & Suites, 404 S Figueroa St, Los Angeles, CA 90071
The L.A. Hotel, 333 S Figueroa St, Los Angeles, CA 90071
Hilton Checkers Los Angeles, 535 S Grand Ave, Los Angeles, CA 90071

Bank of America Plaza, 333 S. Hope Street: $42
World Trade Center, 350 S Figueroa St: $9-$20 (Directly across the street from venue)





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