SPEAKING ENGAGMENTS 2007
Click on the month to view the speaking engagements.
- January
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- February
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- March
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- April
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- May
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- June
- July
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- August
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- September
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- October
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- November
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- December
January
NASAA Winter Conference | |
| Date: | 01/06/07 |
| Topic: | Hedge Fund Developments |
| Sponsor: | North American Securities Administrators Association (NASAA) |
| Location: | New York, NY |
| Speaker: | Kristina Kneip |
| ***** | |
Best Practices for Conducting the Annual Compliance Review | |
| Date: | 01/17/07 |
| Topic: | A Plan for an Annual Compliance Review & Keeping Ahead of the Regs |
| Sponsor: | Financial Research Associates, LLC |
| Location: | New York, NY |
| Speaker: | Jeff Morton |
| ***** | |
Annual Educational Symposium | |
| Date: | 01/19/07 |
| Topic: | Current Hot Topics in SEC Compliance |
| Sponsor: | The Financial Planning Association- National Capital Area Chapter |
| Location: | Tysons Corner, VA |
| Speaker: | Kimberly Hill |
| ***** | |
Institutional Investor Legal Forum | |
| Date: | 01/24/07 |
| Topic: | Managing Hedge Funds, Managing Conflicts |
| Sponsor: | Financial Research Associates, LLC |
| Location: | Washington, DC |
| Speaker: | Jeff Morton |
| ***** | |
Seminar for Fund Directors on Securities Lending | |
| Date: | 01/25/07 |
| Topic: | Compliance and Operational Issues |
| Sponsor: | Mutual Fund Directors Forum and Columbia Law School |
| Location: | New York, NY |
| Speaker: | Nick Prolos |
| ***** | |
Investment Adviser Regulation | |
| Date: | 01/26/07 |
| Topic: | Compliance; SEC Examinations |
| Sponsor: | ALI-ABA |
| Location: | Washington, DC |
| Speaker: | Jeff Morton |
| ***** | |
February
Complying with the Compliance Program Rule & Surving the SEC Audit | |
| Date: | 02/26/07 |
| Topic: | Administering Code of Ethics: Implementing Guidelines |
| Sponsor: | Financial Research Associates, LLC |
| Location: | New York, NY |
| Speaker: | Jeff Morton |
| ***** | |
March
Soft Dollar Practices Forum | |
| Date: | 03/20/07 |
| Topic: | Understand the Basic Tenets of Soft Dollar Strategies |
| Sponsor: | Institute for International Research |
| Location: | New York, NY |
| Speaker: | Ted Eichenlaub |
| ***** | |
Soft Dollar Practices Forum | |
| Date: | 03/21/07 |
| Topic: | Requirements and Characteristics of Soft Dollar Compliance Programs |
| Sponsor: | Institute for International Research |
| Location: | New York, NY |
| Speaker: | Jeff Morton |
| ***** | |
April
Hedge Fund Regulation & Compliance 2007 | |
| Date: | 04/23/07 |
| Topic: | Execution Best Practices and Correcting Trade Errors |
| Sponsor: | Institute for International Research |
| Location: | New York, NY |
| Speaker: | Sean Farrell and Barry Schwartz |
| ***** | |
Lightport 2007 Client Conference | |
| Date: | 04/27/07 |
| Topic: | Electronic Recordkeeping Regulations |
| Sponsor: | Lightport, Inc. |
| Location: | Tampa, FL |
| Speaker: | Barry Schwartz |
| ***** | |
May
Rydex Affiliate CCO Roundtable | |
| Date: | 05/05/07 |
| Topic: | SEC Examination Best Practices and Current Regulatory Issues |
| Sponsor: | Rydex |
| Location: | Orlando, FL |
| Speaker: | Adelbert Sanchez |
| ***** | |
Changes in the Regulatory Environment | |
| Date: | 05/15/07 |
| Topic: | SEC Examinations |
| Sponsor: | Schwab Institutional |
| Location: | Atlanta, GA |
| Speaker: | Shannon Behara |
| ***** | |
June
4th Annual Mutual Fund Forum | |
| Date: | 06/06/07 |
| Topic: | Combating the Inherent Risks Associated with Outsourcing |
| Sponsor: | Institutional Investor Events |
| Location: | New York, NY |
| Speaker: | Sean Farrell |
| ***** | |
Hedge Fund Regulation Compliance Forum | |
| Date: | 06/21/07 |
| Topic: | Building and Maintaining a Top Notch Compliance Program: A CCO’s Toolkit |
| Sponsor: | Financial Research Associates, LLC |
| Location: | New York, NY |
| Speaker: | Jeff Morton |
| ***** | |
July
FPA/Charles Schwab Institutional Meeting | |
| Date: | July 19, 2007 |
| Topic: | Compliance Program Best Practices |
| Sponsor: | FPA and Charles Schwab Institutional |
| Location: | Philadelphia, PA |
| Speaker: | Theodore E. Eichenlaub |
| ***** | |
Hedge Funds 101 & 102 | |
| Date: | July 24, 2007 |
| Topic: | The SEC & Current Regulatory Atmosphere |
| Sponsor: | Financial Research Associates, LLC |
| Location: | Chicago, IL |
| Speaker: | Kent L. Wegrzyn |
| ***** | |
August
There are currently no events scheduled | |
| Date: | |
| Topic: | |
| Sponsor: | |
| Location: | |
| Speaker: | |
| ***** | |
September
Mesirow Financial Conference | |
| Date: | September 12, 2007 |
| Topic: | Understanding Your Investment Advisor Professional Insurance Needs |
| Sponsor: | Mesirow Financial |
| Location: | Chicago, IL |
| Speaker: | Dan Smith |
| ***** | |
Hedge Fund General Counsel Summit | |
| Date: | September 26, 2007 |
| Topic: | Risks Associated with Insider Trading |
| Sponsor: | Strategic Research Institute |
| Location: | Greenwich, CT |
| Speaker: | Kristina Kneip |
| ***** | |
October
Hedge Fund Operations and Compliance Conference | |
| Date: | October 1, 2007 |
| Topic: | Building and Maintaining a Compliance Program |
| Sponsor: | Finance IQ |
| Location: | Stamford, CT |
| Speaker: | Kimberly Hill |
| ***** | |
NSCP National Membership Meeting | |
| Date: | October 17, 2007 |
| Topic: | Conflicts of Interest (Small Firms) |
| Sponsor: | National Society of Compliance Professionals |
| Location: | Washington, DC |
| Speaker: | Jeff Morton |
| ***** | |
Compliance 2007 | |
| Date: | October 17, 2007 |
| Topic: | Hedge Fund Bootcamp |
| Sponsor: | The Pennsylvania Securities Commission |
| Location: | Hershey, PA |
| Speaker: | Kristina L. Kneip, Esq |
| ***** | |
Investment Adviser Roundtable | |
| Date: | October 25, 2007 |
| Topic: | Practical Compliance Tips and Recent Developments |
| Sponsor: | Bell Boyd |
| Location: | Chicago, IL |
| Speaker: | Daniel Smith, CFA |
| ***** | |
The Investment Manager’s Marketing Communications Summit | |
| Date: | October 29, 2007 |
| Topic: | Marketing Compliance Tutorial for Marketing Managers |
| Sponsor: | Financial Research Associates, LLC |
| Location: | New York, NY |
| Speaker: | Sean Farrell |
| ***** | |
Securities Lending: The Board’s Role | |
| Date: | October 29, 2007 |
| Topic: | Compliance and Disclosure Issues |
| Sponsor: | MFDF and KPMG, LLP |
| Location: | Chicago, IL |
| Speaker: | Shannon Behara |
| ***** | |
November
Cultivating a Culture of Compliance | |
| Date: | November 13, 2007 |
| Topic: | CFO/CCO Summit |
| Sponsor: | Banc of America Securities Prime Brokerage |
| Location: | San Francisco, CA |
| Speaker: | Gary Watkins |
| ***** | |
Cayman Islands Conference | |
| Date: | November 16, 2007 |
| Topic: | Anatomy of a Compliance Program and Regulatory Examination |
| Sponsor: | MarHedge |
| Location: | Grand Cayman |
| Speaker: | Barry Schwartz |
| ***** | |
Dual Registrant Symposium | |
| Date: | November 29, 2007 |
| Topic: | Pre-Conference Workshop: Investment Adviser/Broker Dealer Dual Regulations: Understanding the Confusion |
| Sponsor: | Financial Research Associates, LLC |
| Location: | New York, NY |
| Speaker: | Jeff Morton |
| ***** | |
Charles Schwab Compliance Webcast | |
| Date: | November 29, 2007 |
| Topic: | 2007 Investment Management Compliance Testing Survey |
| Sponsor: | Charles Schwab & Co. |
| Location: | Morristown, NJ |
| Speaker: | Jeff Morton |
| ***** | |
Boston Financial Data Services 2007 CCO Forum | |
| Date: | November 6, 2007 |
| Topic: | SEC Exams…What Are They Fishing For? |
| Sponsor: | Boston Financial Data Services |
| Location: | Boston, MA |
| Speaker: | Jeff Morton |
| ***** | |
Mutual Fund Directors Forum | |
| Date: | November 8, 2007 |
| Topic: | Funds Use of Derivatives |
| Sponsor: | Mutual Fund Directors Forum |
| Location: | Columbia University, NYC |
| Speaker: | Carl Rizzo |
| ***** | |
DFA Chicago “Study Group” (IA) | |
| Date: | November, 6 2007 |
| Topic: | SEC Exams: A Description and Survival Guide |
| Sponsor: | Dimensional Fund Advisors |
| Location: | Rosemont, IL |
| Speaker: | Nick Batinich & Dan Smith |
| ***** | |
December
Hedge Fund Accounting & Administration Forum | |
| Date: | December 4, 2007 |
| Topic: | The Accountant's Guide to Surviving an SEC Examination |
| Sponsor: | Financial Research Associates, LLC |
| Location: | New York, NY |
| Speaker: | Jeff Morton |
| ***** | |