Conference

A Commitment To Compliance: Climbing The Mountain Of Regulatory Expectations

- Loews Coronado Bay, San Diego

Changes are impacting the asset management industry from all directions – SEC, Department of Labor, CFTC/NFA, U.S. Treasury, Federal Reserve, and foreign government bodies.

  • New SEC Examination Priorities
  • Enhanced Technology to Detect Fraud
  • New DOL Fiduciary Rule
  • New Business Continuity Rule Proposal
  • FinCEN AML Rulemaking
  • Cybersecurity Enforcement Risks
  • Commodities Regulations Overhaul
  • Responsibility for Oversight of Third-Party Service Providers
  • Expanded Data and Regulatory Filing Demands
  • The Latest Rule-Making that Impacts Advisers
  • Plus, Existing Regulatory Requirements

Ascendant’s September Compliance Conference keeps you ahead of the avalanche of changes heading your way.

Why are registered investment advisers subject to so much new regulatory scrutiny? Because of the expanding importance of RIAs as fiduciary market participants in the financial industry. Regulators are gathering more information and reviewing it with increasing efficiency. Proposals to amend Form ADV and add Form N-PORT and N-CEN, new technology, and expanding regulatory requirements to monitor conflicts of interest all reflect how data and resources are important drivers of compliance and enterprise risk management.

Ascendant’s San Diego Compliance Conference, taking place on September 26-28, 2016, at the Loews Coronado Bay Resort, provides the best and most practical compliance and enterprise risk management training in the industry, with focused content tracks for compliance programs, SEC hot topics & priorities, ethics & fraud, cybersecurity, private fund advisers (hedge, PE, real estate), CFTC/NFA compliance, filing requirements and core topics.

Review regulatory expectations with industry-recognized experts, peers, regulators, and technology and operations experts. Meet with representatives of the most highly regarded vendor solution providers for the industry. Prepare for all of the changes coming your way.

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8:30-9:00

Pre-Conference Registration

9:00-11:30

Pre-Conference Workshops (Concurrent) ($295)

Cybersecurity: Everyone’s Talking About It, But What Do the Regulators Really Want (Workshop 1)
After putting firms on notice with cybersecurity guidance and sweep exams for a number of years, regulators are now poised to send cases in which firms have failed to adequately address cybersecurity risk to enforcement.

This comprehensive cybersecurity workshop reviews the six subject areas reviewed by the SEC and provides practical solutions to meet regulatory expectations and promote a secure environment. We’ll discuss:

  • Conducting cybersecurity risk assessments effectively: where to start, how to prioritize
  • Developing robust cybersecurity policies and controls, and tailoring them to your business
  • Testing policies, network and staff: 10 things you need to be doing now
  • Monitoring for threats, vulnerabilities and hacks, and knowing where to look

Cybersecurity terms will be explained in plain English, ensuring you’ll leave the session with tangible takeaways regardless of technology familiarity or expertise.

Custody – The Ins and Outs of Determining Custody (Workshop 2)
This dynamic custody workshop walks through the identification of custody situations, the associated risks and controls, and the regulatory requirements. We’ll discuss the operational requirements to track appropriate information, implement effective controls, and the appropriate training and risk management for each particular adviser’s business.

  • Determine the accounts for which your firm is deemed to have custody
  • How to effectively monitor custody
  • Activities that can trigger custody
  • Surprise! – It’s an exam
  • Annual custody audit
  • Preventing wire fraud
  • Regulation S-ID risks

Leave this session with a mini-library of essential custody reference materials!

12:00-1:00

Main Conference Registration

1:00-1:10

Conference Kickoff: Welcome and Introduction

1:15-2:20

Keynote Address – Jeff Glasbrenner

Every Great Achievement Begins With a Single Step

At times, running an effective compliance program can feel like climbing Mount Everest. The obstacles are omnipresent, the footing is treacherous, the goal remains so far off in the distance.

Sometimes, it pays to look to others for inspiration.

Jeff Glasbrenner knows challenge. At eight years old, he lost part of his right leg in a farming accident. After 47 days in the hospital, doctors told him his future was limited. No swimming, no running, no sports. For a while, he believed it. For a while, he was no longer a regular kid.

And then one day, he took a single step, and everything changed.

Since then, he’s raced marathons, completed Ironman triathlons, and competed in three Paralympic Games. Recently, Jeff accomplished the ultimate in adventure sports, climbing the world’s highest peak: Mount Everest. In doing so, he became the first American amputee to accomplish the feat.

Compliance might not be the highest mountain in the world, but with ever-expanding regulatory requirements and expectation, we all need to be prepared for the challenge. No one conquers this kind of summit alone! Join Ascendant Conferences + Education for this special journey.

2:25-2:40

Vendor Introductions

2:45-3:45

Meeting the Challenges of Today’s Compliance Program: Controlling Regulatory Risk

The Regulators have told compliance officers and the asset management industry that they are pursuing “broken windows.” How then does a registered investment adviser ensure that its business doesn’t have any regulatory “cracks”? This panel will present proven and practical steps to identify regulatory risks and evaluate industry practices.

Hear from compliance specialists on:

  • Identifying regulatory risks
  • Development of management and mitigation controls
  • Successfully training employees as an ongoing component of compliance
  • Trends that trigger SEC examination personnel to take the next step and make a referral to enforcement
  • A look “behind the scenes” of recent SEC enforcement cases that stemmed from routine examination
  • Examples of cases that started out as Wells submissions, and then went from bad to worse

This panel will also dissect and discuss newly proposed Rule 206(4)-4 Adviser Business Continuity and Transition Plans.

3:45-4:00

Networking Break

4:00-5:15

Privacy and Information Security Programs: Translating Regulations

Is your firm feeling the “Snowden Effect”? Information security has come a long way in recent years, and the regulatory landscape continues to play catch-up. Financial institutions adhering to privacy regulations enacted before the rise of social media, ransomware, and daily breaches are now faced with a growing body of state and international privacy regulations that may impose additional — or even conflicting — obligations governing the protection of data of specific residents.

This session will highlight:

  • Regulation S-P and related enforcement actions
  • Applicable state laws and regulations
  • The “special” states – Massachusetts, California, Nevada and more
  • EU Privacy: The General Data Protection Regulation (GDPR)
  • Employee training, encryption, and other requirements
  • Minimal standards to best practices

5:15-7:15

Welcoming Reception

Day one isn’t over when the last session ends. Instead, it’s time for Ascendant to roll out the red carpet with a two-hour event filled with refreshments, conversation and networking. Taking place in the hotel’s Commodore Foyer with stunning views of the Bay as a backdrop, you’ll have a chance to mingle with exhibitors, keynote speaker Jeff Glasbrenner, and fellow attendees.

6:20-7:30

Yoga On the Beach
We designed the Ascendant conference to feed your brain, packing it with vital information and the latest developments in compliance. But we haven’t forgotten the importance of balance in the equation, and how nourishing your body can strengthen your mind. Join us for beach yoga to refocus, reenergize and jumpstart your day.

Meet at the Sea Spa at 6:20 to check in, and pick up your mats and towels. The group will walk to the beach location. Bring your own water bottles!

7:30-8:30

Breakfast

7:45-8:30

Morning Workshops (Concurrent)

Let’s Talk – Small Advisers Workshop
Network with peers regarding small firm experiences. Discuss the challenges associated with having more than one role within your organization; vet the conflicts of certain positions; consider how to maximize your human and technology resources effectively; and exchange problem-solving techniques. Develop a game plan to leverage the conference experience together.

Is Your Firm Ready for An SEC Exam?
Whether you’ve gone through an SEC exam or are waiting to receive the call that the SEC is coming, everyone needs to prepare for a regulatory examination. Talk with contemporaries about how to prepare for an exam. Discuss strategies that have been successful in providing information to regulators. Consider how to develop a firm-wide appreciation for the importance of an examination to your business.

ACM Users Workshop
Join fellow ACM users to learn more techniques for enhancing your firm’s compliance program. Bring your questions and experiences for answers and brainstorming.

8:30-8:40

Housekeeping & Introduction

8:40-8:55

Vendor Introductions

8:55-10:00

SEC National Exam Program – The New Heights and Standards to Which Regulators Are Reaching

With a larger budget, expanded authority and new technology, SEC examinations are changing. This panel will examine the types of exams and areas of focus. We’ll discuss:

  • The SEC’s larger budget and additional examiners
  • SEC national exam priorities
  • How big data and NEAT technology is used
  • Frequently cited deficiencies
  • Lessons from administrative cases

You’ll take away an understanding of how to prepare your firm for a SEC exam as well as samples of exam request letters.

10:00-10:15

Vendor Introductions

10:15-10:30

Networking Break

10:30-11:30

Breakout Sessions (Concurrent)

New Anti-Money Laundering Rules – What It Means for Investment Advisers
Investment advisers can’t escape falling within the definition of “financial institution” for much longer. This session will discuss the implications of the final AML rules for investment advisers. You’ll gain an understanding of:

  • New Due Diligence requirements
  • What it means to be designated as a Financial Institution
  • Considerations pertaining to designating an AML Officer
  • Elements of an AML compliance program and how to implement them
  • Developing an effective and essential customized employee training program
  • Breaking down beneficial owners

Making Compliance Everyone’s Responsibility: Employee Training
Do you ever feel like you’re the only person at your firm who is responsible for and concerned about compliance? Fear not, achieving an effective compliance program is a firm-wide responsibility. The panel will discuss strategies for:

  • Having the “tone at the top” resonate throughout your organization
  • Engaging your audience – making compliance everyone’s responsibility
  • Communicating effectively to foster an understanding of compliance and reporting requirements

Walk away with tools to engage all employees in the compliance program and raise awareness of why regulatory compliance is important to your business.

The Annual Review – Doing It Correctly
Registered investment advisers have been conducting annual reviews for over 10 years. In that time, new regulations have been adopted, existing rules have been revised and the SEC’s expectations have changed. So it’s time for compliance professionals to take a fresh look at their firm’s annual review and consider how it can be enhanced. The session will consider:

  • Using your risk matrix to evaluate your compliance program
  • Reviewing your inventory of compliance policies and procedures
  • Evaluating your testing program and considering new assessment methods
  • Memorializing the assessments
  • Reporting to Senior Management

You’ll also have a chance to take samples of risk matrices, policy inventories and report formats back to your firm to continue the discussion.

11:35-12:30

Breakout Sessions (Concurrent)

Private Funds – Private Equity/Real Estate Track Next Gen Private Fund Regulation
Private equity and hedge funds have different sets of regulatory concerns than traditional asset managers. Form PF, third-party service providers (prime brokers, administrators, etc.) and other facets that directly impact a private fund manager’s operations involve a different level of oversight. What types of checks and balances are seen as industry practices? How can you set your firm up for success with SEC examiners? This panel will discuss the Asset Management Unit, the Private Fund Unit and the Division of Economic and Risk Analysis findings that impact private funds and consider:

  • The unique priorities of SEC examiners when conducting examinations of private funds and leading deficiencies
  • How to spot conflicts of interest that jeopardize your investor interests
  • Considerations pertaining to side-by-side management issues and allocating investment opportunity
  • Tracking and appropriately allocating fund expenses
  • Marketing, solicitation and valuation concerns specific to private funds
  • Demystifying Form PF

Registered Investment Companies
Registered investment companies have an entire set of regulatory requirements all their own. This panel will consider those regulations from initially establishing the entities to developing an appropriate compliance program to overseeing the funds service providers and all points in between. Some of the topics that will be discussed include:

  • The role of the CCO
  • What does an effective compliance program look like?
  • Reporting to the Fund’s Board and liaising with Fund’s counsel
  • What does oversight of service providers really mean
  • Fund fees and expenses – distribution in guise and 12b-1 plans
  • SEC rulemaking impacting RICs
  • June 2016 IM Guidance Update; Business Continuity Planning for RIC’s
  • Proposed Portfolio Limitations for Derivative Transactions
  • Proposed Form N-Port and Form N-CEN

Portfolio Management: Where Compliance and Investing Meet
Portfolio managers and investment personnel make many decisions that impact their firms, clients and the compliance program. How does an equity or fixed income manager wrestle with meeting their firm’s best execution obligation? What types of training for their investment team are viewed as most effective? What technological solutions exist to mitigate compliance failures, and how much of that burden is borne by the investment team vs. compliance? This panel will describe how they incorporate compliance into their day-to-day processes, focusing on:

  • Identifying different portfolio management styles and understanding the PMs perspective
  • Involvement by PMs in drafting tailored compliance procedures
  • Training of investment personnel to anticipate problems
  • Operational checks and balances that complement what compliance does on the back end

12:30-1:30

Lunch

1:30-2:15

SPECIAL PRESENTATION Boardroom: An SEC Exam Interview

Whether you are one of the many investment advisers that has never been examined by the SEC or you have experienced an exam, this is a not-to-be-missed presentation. Learn what questions the examiners are asking today. Understand what to say and, perhaps more importantly, how to say it. Develop a strategy for preparing members of senior management, your investment team and operations staff for interviews with SEC examiners. This engaging presentation will assist you with determining how to create a positive relationship with SEC examiners and how to respond to their inquiries.

2:15-2:30

Vendor Introductions

2:30-2:40

Networking Break

2:40-3:40

Breakout Sessions (Concurrent)

Department of Labor Now More Important Than Ever How This Regulator Further Impacts Advisers
The last 5 years have seen a plethora of important regulations regarding fees and services associated with retirement plans: changes to Schedule C of the Form 5500, 408(b)(2) service provider disclosures, 404a-5 participant disclosures, as well as FINRA notice 13-45. Now, the Fiduciary Rule takes it a step further by expanding the definition of fiduciary investment advice to include most sales practices to ERISA plans, plan participants, IRAs and IRA owners and imposing a best interest standard of conduct, reasonable fee requirement, and more, on service providers to IRAs. This session will examine these rules and the practical ways of implementing them with a particular focus on the implications of the rule throughout the lifetime of an IRA customer. The following items will be examined in legal detail with supporting potential technology solutions:

  1. What do Asset Managers have to do when promoting their funds to their various distribution partners?
  2. A customer asks about your IRA services (the “hire me” example) …what do you need to consider?
  3. A customer opens an IRA…what procedures should your company have in place?
  4. A customer asks about whether they should rollover their last employer’s 401(k) plan to an IRA…what do you need to do to be compliant?
  5. A customer asks about consolidating IRAs…what is a procedurally prudent process?
  6. Your Advisor is interested in making an investment recommendation to a customer…what should that process look like?
  7. Finally, an Advisor wishes to change their compensation schedule from commission based to flat fee…what procedures should the company have in place?

Private Funds – Hedge Fund Track Next Gen Private Fund Regulation

Hedge funds have a different set of regulatory concerns than traditional asset managers. Form PF, third-party service providers (prime brokers, administrators, etc.) and other facets that directly impact a private fund manager’s operations involve a different level of oversight. What types of checks and balances are seen as industry practices? How can you set your firm up for success with SEC examiners? This panel will discuss the Asset Management Unit, the Private Fund Unit and the Division of Economic and Risk Analysis findings that impact private funds and consider:

  • The unique priorities of SEC examiners when conducting examination of private funds and leading deficiencies
  • How to spot conflicts of interest that jeopardize your investor interests
  • Considerations pertaining to side-by-side management issues and allocating investment opportunity
  • Tracking and appropriately allocating fund expenses
  • Marketing, solicitation and valuation concerns specific to private funds
  • Demystifying Form PF

3:50-4:30

Breakout Sessions (Concurrent)

Due Diligence: Oversight of Service Providers

Outsource the activity, but not the responsibility. A panel of seasoned due diligence professionals will discuss how to tackle oversight of third-party service providers and document your due diligence reviews. The presentation will consider how to:

  • Identify your organization’s service providers and what services they are providing
  • Create a risk profile for each provider
  • Monitor and verify the services your firm has contracted for
  • Onboard new service providers

Assessment and monitoring tools will be provided to all conference attendees.

Trading and Portfolio Management – Compliance Oversight

How can compliance professionals monitor and evaluate compliance with the firm’s policies and procedures pertaining to trading and portfolio management? What are the tools needed to verify that controls are working as intended? How can you identify if a client or group of clients are being favored over other clients? This panel of operations and compliance professionals considers these questions and discusses:

  • Utilizing Systems Reports to Validate Compliance Controls
  • What and How to Monitor:
    • Client/Fund Investment Guidelines
    • Allocation of Investment Opportunity
    • Broker Selection
    • Brokerage Execution Costs
    • Soft Dollars
    • Trade Errors
    • Wrap Fees

Correctly Completing Your Form ADV

Form ADV, the pivotal regulatory filing that describes your advisory business, can be a challenging form for compliance officers to complete. The Form asks questions that require input from your management team, portfolio managers, traders, operations and business development. This panel will provide practical guidance to complete the Form and translate what some of the more confusing questions really mean. The discussion will focus on:

  • Understanding defined terms
  • Calculating Regulatory AUM
  • Answering the custody questions
  • Determining when to amend your Form ADV
  • What to include in your Form ADV, Part 2A

4:30-5:30

Breakout Sessions (Concurrent)

CFTC/NFA – What Does It All Mean

Futures, commodity option contracts, swaps, and the different investment instruments that may necessitate your firm registering with the Commodity Futures Trading Commission and/or becoming a member of the National Futures Association. This panel of industry specialists will dig into the nuances of CFTC/NFA registrations, exemptions, and reporting and discuss:

  • Who needs to register and who qualifies for exemptions
  • The registration/membership process
  • The impact registration/membership has on your firm’s compliance program
  • The CFTC/NFA exam process
  • Monitoring compliance with CFTC/NFA requirements
  • Determining whether new products or investment instruments affect your firm’s registration and membership

You’ll leave this session with an increased understanding of questions to review with senior management and investment personnel as well as a reference guide to CFTC registration and NFA membership.

Ethics: Where Your Conflicts Lie

When the SEC published Rule 204A-1 in 2004, the regulator explained that it had discovered that no amount of rules alone would curb fraud. So after market timing, personal trading and other conflict-driven fraudulent practices had been discovered, the SEC passed another rule aimed at combating fraud from the inside by requiring every RIA to have a Code of Ethics.

“A good code of ethics should effectively convey to employees the value the advisory firm places on ethical conduct, and should challenge employees to live up not only to the letter of the law, but also to the ideals of the organization.” IA Release 2256; IC Release 26492.

This session, presented with the CFA institute, will review the SEC standard, CFA standards, and other top practices for achieving compliance through ethical standards.

Social Engineering

Are people your firm’s weakest link? Many firms have robust cybersecurity systems and controls, but fail to recognize the weakest link – people. With cybersecurity defenses improving at advisory firms, social engineering has quickly become the biggest threat. Why are these attacks so successful, time after time?

  • Discuss the latest techniques and successful social engineering tactics to avoid falling victim to common issues
  • Learn how to spot the signs
  • Effective methods to test your firm’s social engineering preparedness
  • Security Awareness: The importance of continuous cybersecurity training, and how to avoid letting your guard down
  • From Vigilant to Victim! What to do if you’ve taken the bait.

6:30-10:30

Reception/Dinner

After filling your mind with a full day of valuable information, revitalize yourself with an invigorating dinner sail around the beautiful San Diego Bay aboard the 128-foot luxury Ambassador.

While aboard, indulge in a sumptuous spread of gourmet food while networking with your peers, relaxing and enjoying the spectacular view.

Meet at the marina located in front of the tennis courts. The boat will be docked here and you will need to check in prior to boarding.
Space is limited. RSVP Required.

6:30-7:00

Check in and Boarding

7:00-10:00

Reception, Dinner, and Harbor Cruise

7:30-8:30

Breakfast

7:45-8:30

Discussion Groups (Concurrent)

Proxy Voting and Class Actions
Benchmark proxy and class action processes, including compliance with Rule 206(4)-6, with your peers in this Breakfast Group. A quick review of 2003 Proxy Rule-making, 2014 guidance on due diligence and expected conflict reviews by advisers, and updates on operational technology. Review today’s top regulatory issues regarding proxy voting and class actions for you to cover in your Annual Compliance Program Review.

Form PF
A review of Form PF for private fund managers. What does it cover and why? Discuss the following topics with your peers:

  • Addressing related firm reporting and asset threshold issues
  • How PE firms report performance – Part 1b, Question 17
  • Common filing issues with IARD and PFRD
  • SEC exam staff use of Form PF

Share your Form PF Item 4 Assumptions in the ACM Conference App before the session and compare notes with peers.

ACM Users Workshop
Join fellow ACM users to learn more techniques for enhancing your firm’s compliance program. Open to questions and experiences, descriptions of successful implementation, and suggested development.

8:30-8:40

Opening Remarks and Raffle

8:40-9:00

General Session: How the Election Could Impact Compliance and Regulatory Affairs

9:00-10:00

Special Presentation: Will Durst, Political Humorist: You Can’t Make This Stuff Up: Stranger Than Fiction Election 2016

10:00-11:00

Go On….New Business Continuity and Succession Planning Rule
At the very intersection of compliance and operations, with implications for both, the biggest new rule proposed by the SEC this year – Rule 206(4)-4 – is intended to ensure that your firm’s services to its clients do go on when you’re faced with a business disruption – including natural disasters, cyber-attacks, IT failures, and the loss of key personnel. Supplementing existing rules and an adviser’s fiduciary duty, Rule 206(4)-4 requires much more procedural detail and will likely require substantial time and coordination to implement. Hear how cyber incidents like ransomware can cause business continuity events, how your critical vendors pose operational risks that you will be required to assess, and why the SEC can start enforcing these requirements immediately.

11:00-11:15

Networking Break

11:15-12:00

Breakout Sessions (Concurrent)

Insider Trading: Omnipresent Risks

  • Material Non-public Information – what is it?
  • What do you do when you are in possession of MNPI?
  • How do you monitor staff communications with expert networks and political intelligence agencies?
  • Using Restricted Securities Lists

Ethics: Dissecting the Cases
People are inherently ethical, so what makes professionals make wrong decisions? What are the trends in recent enforcement cases? Use case studies to dissect the concerns and learn how to spot questionable actions by colleagues that could lead them down a path of unethical actions. Learn how to teach others to Take the high road!

  • How to identify problems. Why do they happen?
  • Interesting—and sometimes surprising—case studies
  • Learn tangible ways on how to tackle ethical dilemmas and improve organizational ethics.

Marketing and Advertising
Financial advisers and wealth managers are complex, so presenting performance and differentiating characteristics to the public within the confines of Rule 206(4)-1 presents challenges. Remember those broken windows to avoid? Marketing can be a primary source of those problems. Know the rules, the regulators’ interpretations, and how to make it work for the financial adviser. The panel will review:

  • Drafting successful policies
  • Knowing the relevant No-Action letters
  • Social media activities
  • Record-keeping requirements
  • Successfully working regulations into the business
  • Avoiding the enforcement examples

You’ll leave the conference with a sample policy addressing the most relevant No-Action letters.

12:05-1:00

Cybersecurity Readiness and Incident Response Planning
A cybersecurity incident at your firm is a matter of “when,” not “if.” When it does occur, will you be prepared to respond adequately? Learn how to address different breach events through this interactive workshop, where you’ll work through various incident scenarios with one of the nation’s leading data breach attorneys. Was there a breach? What was accessed? Who should we notify? Learn skills to critically analyze the legal, compliance and technology aspects of a potential incident before the incident happens to you.

End of Conference

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Bryan M. Bennett

Associate Regional Director - Examinations

U.S. Securities & Exchange Commission

Jeff Blumberg

Partner

Faegre Baker Daniels

Anne Buckley

Managing Director-Research, General Counsel/CCO

Arthur W. Wood Company, Inc.

Toni Bugni

Senior Vice President, Compliance Support Services

Northern Trust

Eva Carman

Partner

Ropes & Gray LLP

Robert Conca
, Esq

Partner

Jacko Law Group

Patrick Conroy

Manager, Compliance Services

Charles River Development

Mark Costley

Of Counsel

Ballard Spahr LLP

Larry Cowen

Vice President, Managing Director

Ascendant

Letti de Little

Chief Compliance Officer

Cartica Management, LLC

Glenn Doggett

Director, Standards of Practice

CFA Institute

Will Durst

Political Humorist

Kathleen Edmond

Partner

Robins Kaplan

Andy Fotopulos

President

Starkweather & Shepley Insurance

Allison Fraser
, CFE

Compliance Services Consultant

Ascendant

John J. Gentile

Director, Partner

Ascendant

Jeff Glasbrenner

Every Great Achievement Begins With a Single Step

Kevin Goodman

Associate Director, Broker-Dealer Examinations Office of Compliance Inspections and Examinations

U.S. Securities and Exchange Commission

Barry Greenberg

General counsel and Chief Compliance Officer

Cushing Asset Management

Jacqueline Hallihan

Director, Partner

Ascendant

Deborah Hammalian

SVP, Chief Compliance Officer

Voya Investment Management

Andrew Hartnett

Officer

Greensfelder, Hemker & Gale, P.C

Catherine Hotaling

Product Development, ACM

Ascendant

Tracey Hunt

Associate Director, Compliance

National Futures Association

Mary Ann Iudice

Senior Vice President, CCO

Nuveen Investments-LA

Michelle Jacko
, Esq.

Managing Partner

Jacko Law Group, PC.

Thomas R. Kmak

CEO

Fiduciary Benchmarks

Cynthia Larose
, CIPP/Member

Chair, Privacy and Data Security Practices

Mintz, Levin, Cohn, Ferris Glovsky and Popeo, P.C.

Christine Lombardo

Associate

Morgan Lewis & Bockius LLP

Chris Lombardy

Managing Director, Regulatory Compliance

Duff & Phelps

Keith Marks

Senior Vice President, General Counsel

Ascendant

Jason Millard

Partner

Ashland Partners & company LLP

Ryan Mulligan

Director-ICS Product Sales

Broadridge Financial Solutions, Inc.

John O’Brien

Partner

Morgan Lewis & Bockius LLP

Clark Pellington

Vice President, Chief Compliance Officer

Quantitative Management Associates

David Porteous

Partner

Faegre Baker Daniels LLP

Kari Rollins

Partner

Winston & Strawn LLP

Joshua Sterling

Partner

Morgan Lewis & Bockius LLP

Mike Suppappola

Partner

Proskauer Rose LLP

András P. Teleki

Chief Legal Officer

M3Sixty Administration, LLC

David Tittsworth

Counsel

Ropes & Gray LLP

Ashish Ward

Examinations Manager

U.S. Securities & Exchange Commission, Investment Management Examinations

Eugenie Warner

Vice President, Compliance Services Consultant, Associate General Counsel

Ascendant

Erika Yelle

Chief Compliance Officer

Coldstream Capital Management, Inc.

E.J. Yerzak
, CISA, CISM, CRISC

Partner, VP of Technology, Compliance Services Consultant

Ascendant

Dianna Zentner

Compliance Services Consultant

Ascendant

Art Zwickel

Partner, Corporate Department

Paul Hastings

Bryan M. Bennett

Associate Regional Director - Examinations

U.S. Securities & Exchange Commission

Anne Buckley

Managing Director-Research, General Counsel/CCO

Arthur W. Wood Company, Inc.

Eva Carman

Partner

Ropes & Gray LLP

Patrick Conroy

Manager, Compliance Services

Charles River Development

Larry Cowen

Vice President, Managing Director

Ascendant Compliance Management

Glenn Doggett

Director, Standards of Practice

CFA Institute

Kathleen Edmond

Partner

Robins Kaplan

Allison Fraser
, CFE

Compliance Services Consultant

Ascendant Compliance Management

Jeff Glasbrenner

Every Great Achievement Begins With a Single Step

Barry Greenberg

General counsel and Chief Compliance Officer

Cushing Asset Management

Deborah Hammalian

SVP, Chief Compliance Officer

Voya Investment Management

Catherine Hotaling

Product Development, ACM

Ascendant Compliance Management

Mary Ann Iudice

Senior Vice President, CCO

Nuveen Investments-LA

Thomas R. Kmak

CEO

Fiduciary Benchmarks

Christine Lombardo

Associate

Morgan Lewis & Bockius LLP

Keith Marks

Senior Vice President, General Counsel

Ascendant Compliance Management

Ryan Mulligan

Director-ICS Product Sales

Broadridge Financial Solutions, Inc.

John O’Brien

Partner

Morgan Lewis & Bockius LLP

David Porteous

Partner

Faegre Baker Daniels LLP

Mike Suppappola

Partner

Proskauer Rose LLP

David Tittsworth

Counsel

Ropes & Gray LLP

Ashish Ward

Examinations Manager

U.S. Securities & Exchange Commission, Investment Management Examinations

Erika Yelle

Chief Compliance Officer

Coldstream Capital Management, Inc.

Dianna Zentner

Compliance Services Consultant

Ascendant Compliance Management

Jeff Blumberg

Partner

Faegre Baker Daniels

Toni Bugni

Senior Vice President, Compliance Support Services

Northern Trust

Robert Conca
, Esq

Partner

Jacko Law Group

Mark Costley

Of Counsel

Ballard Spahr LLP

Letti de Little

Chief Compliance Officer

Cartica Management, LLC

Will Durst

Political Humorist

Andy Fotopulos

President

Starkweather & Shepley Insurance

John J. Gentile

Director, Partner

Ascendant Compliance Management

Kevin Goodman

Associate Director, Broker-Dealer Examinations Office of Compliance Inspections and Examinations

U.S. Securities and Exchange Commission

Jacqueline Hallihan

Director, Partner

Ascendant Compliance Management

Andrew Hartnett

Officer

Greensfelder, Hemker & Gale, P.C

Tracey Hunt

Associate Director, Compliance

National Futures Association

Michelle Jacko
, Esq.

Managing Partner

Jacko Law Group, PC.

Cynthia Larose
, CIPP/Member

Chair, Privacy and Data Security Practices

Mintz, Levin, Cohn, Ferris Glovsky and Popeo, P.C.

Chris Lombardy

Managing Director, Regulatory Compliance

Duff & Phelps

Jason Millard

Partner

Ashland Partners & company LLP

Clark Pellington

Vice President, Chief Compliance Officer

Quantitative Management Associates

Kari Rollins

Partner

Winston & Strawn LLP

Joshua Sterling

Partner

Morgan Lewis & Bockius LLP

András P. Teleki

Chief Legal Officer

M3Sixty Administration, LLC

Eugenie Warner

Vice President, Compliance Services Consultant, Associate General Counsel

Ascendant Compliance Management

E.J. Yerzak
, CISA, CISM, CRISC

Partner, VP of Technology, Compliance Services Consultant

Ascendant Compliance Management

Art Zwickel

Partner, Corporate Department

Paul Hastings

Loews Coronado Bay Resort

4000 Coronado Bay Road
San Diego, California 92118
619 424 4000
Web: https://www.loewshotels.com/coronado-bay-resort

Decorated in beach-glass colors, this hotel is island-chic at its very best. Perched on its own 15-acre peninsula, you will enjoy magnificent views that range from the Pacific Ocean and Coronado Bay to the lush grounds or the lights of the San Diego skyline.

Take a dip in one of three deluxe swimming pools, enjoy tennis courts and the hotel fitness center or make an appointment at the world class Sea Spa. Silver Strand State Beach is a five-minute walk from the hotel entrance. A pedestrian underpass allows guests access to this beautiful beach. The hotel bellman or valet attendants can also bring guests to and from the beach in the resort golf carts.

No matter what you choose, the stunning waters of the Pacific and Coronado Bay create a gorgeous backdrop. It is the ultimate setting to do business.

Hotel Reservations

Ascendant has reserved a block of rooms with a group rate of $229.00 per night at the hotel for the nights of September 25 – 28, 2016. For reservations a dedicated booking website has been created for our event where you will be able to make or modify your hotel reservations online. To access the website, please click the following link:



You are also welcome to call 800-815-6397 and reference the Ascendant Compliance Management block for the conference to be held at Loews Coronado Bay Resort. The room rate of $229.00/ night single or double is offered 3 days before and 3 days after the conference based upon availability of group rooms at the time of the request.

The cut-off date for the group rate is Friday, August 26, 2016. Please make your reservations early.

Check In: 4pm | Check Out: 12pm

Ground Transportation

Taxis are approximately $40 – $50 each way from San Diego International Airport (SAN) to the Loews Coronado Bay Resort and can be picked up outside baggage claim.

Sunset Transportation, the car service on property, offers sedans to/from the airport for approximately $70 each way. The hotel does not offer a shuttle, but the concierge is always happy to help with transportation inquiries. To make arrangements, please contact the concierge at 619-424-4000.

Loews Coronado Bay – Map

[script_gmaps][map_canvas id=”lowes” long=”32.631930″ lat=”-117.134031″ info_title=”Loews Coronado Bay Resort” info_address=”4000 Coronado Bay Road, San Diego, California 92118″ info_telephone=”671 424 4000″]

Area Attractions

The Gondola Company
Another Side of San Diego (Segway Tours)
Petco Park (Home of the Padres)
Coronado Municipal Beach
Social Cycle
San Diego Bay Walk
Gaslamp Quarter
San Diego Seal Tours
Imperial Beach

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