Conference

The Expanding Compliance Universe: Advanced Perspectives and Practical Solutions

- Hyatt Regency Scottsdale Resort & Spa at Gainey Ranch, Scottsdale, Arizona

A Year of Regulatory Change

  • SEC Requirements – What’s New and What’s on the Horizon
  • Essential Components of a Compliance Program
  • Evolving Compliance Monitoring and Testing Expectations
  • Understanding Regulatory Filings
  • Cybersecurity Essentials
  • Private Fund Regulation – the SEC’s Focus

The Expanding Compliance Universe is a confluence of ever moving, ever changing points of regulations, conflicts of interest, and human behavior. Join us as we learn beyond the horizon for investment managers.

Ascendant’s Scottsdale Compliance Conference is a unique forum for investment adviser compliance professionals to:

  • Enhance compliance programs to effectively address the expanding set of regulatory requirements and expectations from the SEC, FINRA, CFTC, and DOL
  • Gain best practices from industry experts who have been in the trenches, and the techniques they employed to achieve compliance support firm-wide
  • Understand Cybersecurity concepts and cost-effective ways to implement the critical cybersecurity protections expected by regulators, with a focus on controls specific to small, medium, and large firms
  • Learn strategies to increase operational efficiency, reduce deficiencies, and improve compliance reporting
  • Mitigate risk by keeping current on the latest tools, policies, checklists, tips, and risk management solutions

Regulation of investment advisers has expanded significantly from its origins. Compliance professionals are in the midst of a regulatory “big bang” that has vastly increased the scope of their compliance obligations.  The goal of this program is to prepare compliance professionals with relevant and practical tools and strategies for implementing and enhancing compliance programs to address 21st century regulations, challenges, and business risks.

  • Discover strategies to get a handle on the expanding set of compliance expectations, including regulatory hot-button issues and emerging trends
  • Network with peers at similarly situated firms easily through our conference app
  • Access to speakers through roundtable focus groups – where you can get your questions answered in a comfortable setting

Learn from the regulators, the experiences of peers, and industry experts, including:

  • Past and present SEC staff and examiners
  • Ascendant consultants
  • Chief Compliance Officers
  • Expert securities attorneys
  • International cybersecurity and breach investigation experts

Ascendant Conferences + Education is dedicated to providing attendees with practical solutions and take-aways that they can implement immediately within their firm.

We look forward to seeing you, but space is limited and the event will likely sell out. Register today!

Lorem ipsum dolor sit amet, consectetur adipiscing elit. Curabitur id aliquam sem. Nullam consequat urna sed ex blandit, blandit posuere metus ultrices. Nam vulputate interdum dolor vitae posuere. Nam et mi mi. Nulla vitae nisi dolor. Fusce mi libero, porttitor vitae convallis sed, porta ut est. Cras et metus sagittis, ornare tortor at, ultricies enim. Quisque a metus eros. Nunc suscipit interdum risus eget ornare. Cras nulla ex, maximus id lobortis eu, malesuada quis neque. Aliquam tincidunt, mauris pharetra maximus sodales, dolor sapien vulputate ipsum, bibendum iaculis felis neque vitae est. Sed ornare augue a metus interdum pellentesque. Proin et tincidunt lacus, vel accumsan justo. Nulla iaculis elementum ligula ut interdum. Duis non ligula sollicitudin, sagittis dolor non, bibendum lorem.

Fusce auctor augue in pellentesque sagittis. Integer in molestie neque, eu blandit sem. Donec dapibus orci ornare mauris aliquet condimentum. Duis vel lectus in nisi auctor finibus at sit amet augue. Etiam in quam tellus. Aliquam iaculis vitae metus at lacinia. Lorem ipsum dolor sit amet, consectetur adipiscing elit. Nullam congue ac sem a sagittis. Vestibulum eu imperdiet odio, nec iaculis velit. Integer at neque non sem vehicula tristique. Nullam mollis dolor in quam suscipit fermentum et ut augue.

8:00-8:45

Pre-Conference Registration

8:45-10:45

Pre-Conference Workshops ($295) (Concurrent)

Pre-Conference Workshop – Fundamentals
Compliance at its Core: Understanding The Fundamentals of a Solid Compliance Program
There have been some titanic shifts in the landscape of regulations governing the activities of investment advisers over the last 75 years, but at the core is still the Investment Advisers Act. This session will explore the fundamental rules and regulations that govern the investment advisory industry. It will also identify what other regulations intertwine with the Advisers Act and may need to be included in your compliance program. Explore 75 years of changes to the Advisers, particularly as it pertains to:

  • Annual Compliance Review
  • 10 Minimum Elements of a Compliance Program
  • The Prevention of Misuse of Insider Information
  • Books and Records
  • Impacts of Dodd-Frank Rulemaking
  • Regulation S-ID, Reg. M, 13F, 13G, 13G, 13H
  • And how it all relates to cybersecurity!

Pre-Conference Workshop – Cybersecurity
NIST Implementation: Evidencing Your Cyber Controls and Testing
Expectations from regulators are clear that investment advisers and broker-dealers must be addressing cybersecurity risks as part of their obligations under applicable regulations to safeguard client information and as an extension of business continuity practices. The NIST Framework for Cybersecurity is the de facto standard for evidencing the reasonableness of cybersecurity controls. Learn how to use it as a communications tool both to map your firm’s cybersecurity controls and to describe those safeguards to regulators. This session will discuss:

  • The Top 7 Cyber Policies You Need to Have
  • Moving Past the IT Mantra of “Do Now, Document Later”
  • Documentation as Knowledge Sharing: Avoiding the “Keys to the Kingdom” Trap
  • Using the NIST Framework – For small, medium, and large firms

11:45-12:30

Registration

12:30-12:40

Conference Kickoff: Welcome and Introduction

12:45-1:45

Keynote Address Battling Fraud on the Front Lines – Evy Poumpouras

1:45-1:55

Vendor Introductions

2:00-3:00

OCIE: Examinations Update: What’s New, What’s Different
Learn what the current state of OCIE examinations is for investment advisers and private funds, areas of concern to examiners and Staff, and what’s needed to have your compliance program meet these expectations. We’ll discuss:

  • What are current OCIE concerns and areas of focus?
  • Insights from current OCIE examinations and document requests
  • Role of data and interaction with critical SEC units
  • How have examinations changed? What to expect, steps to take

3:00-3:15

Networking Break

3:15-4:20

Concurrent Breakout Choices – A, B & C

A. Advanced Track on Improving Forensic Testing
The SEC has indicated “forensic” tests are transactional and quality control tests assist in determining whether firms’ activities are consistent with their compliance policies and procedures. Compliance professionals of all experience levels can learn new techniques to help evaluate the effectiveness of their compliance program. Seasoned Compliance professionals highlight methods, specific approaches, tools, forms, and solutions. This session will focus on the periodic testing pertaining to compliance policies applicable to company-wide controls, such as personal trading, gifts and entertainment, pay-to-play, social media and outside affiliations. The group will discuss testing methods proven successful.

B. Making it Stellar: Rethinking the Annual Review Report
Have you created the same annual review report year after year? Are you wondering if it’s missing something or could be improved? Have you considered how changes in OCIE’s approach to examinations might be incorporated in your report? This discussion group provides best practices on the content, structure and delivery of your required Rule 206(4)-7 Annual Review to make it shine like a supernova!

C. Annual Compliance Training: Making Compliance Everybody’s Business
Are your firm’s employees excited about compliance training or bored with it? Many advisers struggle with providing effective compliance training. This session will focus on current topics to include and creative ways to deliver training to your firm. We will explore ways to make the message with impact, assist employees with understanding that compliance is everyone’s responsibility, and improve the effectiveness of your training.

4:25-5:30

Discussion Groups
Group 1: A Deeper Look at the SEC’s Private Fund Unit: What’s New, How to Improve
The PFU’s mission is to apply industry and product knowledge to conduct focused, risk-based examinations using OCIE’s limited resources. This Unit plays a critical role in the Division of Investment Management’s Private Funds Group. This discussion group will focus on PFU’s current areas of focus, findings, and specific action points to include to step up your compliance program. Discussions will include:

  • Role of operating partners
  • Website & other disclosure
  • Fees & expense focus
  • LP Agreements disclosures Valuation
  • Co-investment allocations

SEC concerns about dual roles (such as CFOs as CCOs)

Group 2: Marketing, Advertising, General Solicitations and Social Media: Going Beyond “Mad Men”
Always a topic in deficiency letters, often the subject of enforcement actions. Come to this discussion group to refresh and update your thinking on marketing/advertising, general solicitations and social media. Delve into marketing, including presentation of performance and use of social media from the perspective of recent OCIE findings and current focus, and consider the requirements unique to private investment funds.

Group 3: Understanding CFTC & NFA Regulations
Go beyond the universe of the Advisers Act and discover how these additional regulators could impact your firm’s business practices and your compliance program.

Group 4: ACM Group
Has your firm implemented Ascendant Compliance Manager or are you considering it? Do you have questions about how to fully utilize ACM? Join this discussion group to network with developers to understand the full strength of ACM.

5:30-7:30

Welcoming Reception

7:30-8:20

Breakfast

8:20-8:30

Housekeeping & Introduction

8:30-8:45

Vendor Introductions

8:50-9:30

Special Presentation State of the “Compliance” Union: Richard Marshall
It’s the 75th anniversary of the Investment Advisers and Investment Company Acts. As the universe of investment adviser compliance expanded, Rick Marshall jumped in 35 years ago. Playing his own part with the 1980s regulation of investment advisers and then managing additional rulemaking and enforcement for 25 more years. Now the expansion happens even faster and preparing for new events is critical.

9:35-10:30

The SEC’s Recent Proposals to Further Expand Data Collection; Forms ADV, N-PORT, and N-CEN:
Seasoned Compliance Professionals discuss some of the challenges they have faced while managing their compliance program. Learn from their experiences and take away strategies to strengthen your own program.

Proposed on May 21, 2015, the SEC’s most recent rulemaking will require more information about separate accounts, the use of social media and custodians, and registered investment companies.

The Rule promises to help the SEC expand its data collection efforts. This session will cover current Form ADV filing requirements and the SEC’s proposal. Recent IA Release No. 4091 brings home the point that old and new information will assist exams, investigations, enforcement actions and census data. Know how this new information gathering should drive your compliance program.

10:30-10:45

Networking Break

10:45-10:55

Vendor Introductions

11:00-11:55

TRACKS A, B & C (Concurrent)

A. Advanced Session: Trading and Portfolio Management
Oversight of trading and portfolio management is a SEC requirement for an adviser’s compliance program. This session is focused on the tools available to Compliance to determine whether the firm’s trading policies are effective. We’ll discuss skill sets for testing and analyzing trading data and trade blotters, including leveraging exception reports and work done by others. We’ll also discuss what tools OCIE uses to analyze trading and trading concerns and topics on OCIE’s radar.

B. Regulatory Filings and Forms: What Do They All Mean?
There are Form ADV, Form PF, Form 13F, Forms 13D & 13G, 13H, Section 16, Forms SLT & SHC, BE-10, FBAR, CFTC and more. Learn more about these necessary forms and developing a regulatory calendar for your firm. Managing regulatory filings involves monthly, quarterly and annual filings. Understand the requirements, utilize FAQs, and understand why the regulators study the disclosures.

C. FCA Considerations for US Managers
For U.S. Advisers, keeping up with the SEC’s regulations is difficult enough. However, it’s important to know when FCA regulations may impact your business. If you are a SEC- registered Adviser doing business in the UK, attend this session to better understand the implications of the Financial Conduct Authority.

12:00-1:00

TRACKS A & B (Concurrent)

A . Deciphering the Latest SEC Document Request List: Re-engineering the Next OCIE Exam
Taking a careful, critical look at the recent SEC Document Request List to prepare for the new OCIE exam. This session will review an SEC document request and model deficiency letter, re-engineered: how can you avoid receiving the deficiency in the first place? Re-engineering the process step by step for improved results!

B. Are Ethics and Values Becoming Extinct?
As compliance professionals, we wear many hats. One is most likely being the de facto Chief Ethics Officer. This session will discuss real world examples of how investment professionals lost their ethical compass and strayed from fulfilling their fiduciary responsibilities. We’ll also consider what you as a Compliance professional and members of your management team could do to avoid such situations.

1:00-2:30

Lunch & Break

2:30-3:10

Cyber Risk = Business Risk = Privacy and Safeguarding Client Information: Ali Pabrai

3:15-4:10

TRACKS A & B (Concurrent)

A. Making Sure the Message Is Clear: Elements of a Compliance Manual
After so many years, the Compliance Manual and written procedures continue to be on every SEC deficiency letter. This session focuses on topics that must be included, current OCIE thinking in this area, and styles and methods for building a better compliance manual. Sample table of contents and checklists included for takeaways!

B. Building on Ethics; Case Studies on the Cosmic Changes of Ethical Behavior
Space is a vacuum, but should ethical behavior be viewed in one? This panel will consider what motivates a shift in ethical principles over time and explore how otherwise moral employees justify their unethical actions. Using case studies, the panel will discuss the types of ethical issues compliance professionals encounter in the workplace.

4:10-4:25

Networking Break

4:25-4:35

Vendor Introductions

4:35-5:30

Concurrent Breakout Choices – A, B & C

A. Knowing Who You Are Doing Business With: Due Diligence of 3rd Party Service Providers to Private Funds
Private investment funds contract with a number of service providers to conduct a fund’s business. Often Compliance is responsible for conducting due diligence on the service providers. This session considers who the service providers are and the scope of the due diligence review. We’ll discuss. leveraging the expertise of others in your firm and relying on assessments by unaffiliated firms.

B. “Afterglow” – SEC Hot Topic: Succession Planning
In recent speeches, Chair White mentioned that the SEC is developing a recommendation to require investment advisers to create transition plans to prepare for a major disruption in their business. The transition rule is on the SEC’s regulatory calendar for a proposal in October- so be ahead of transition planning by attending this session.

C. The Year of the Breach: Top 10 Techniques for Preventing Data Loss: Information Technology Advance Session
How to leverage the top techniques to prevent a data breach at your firm from becoming the next big bang in the headlines. Ten top techniques shared to prevent data loss.

6:30-9:30

Reception / Dinner

7:30-8:30

Breakfast

7:45-8:30

Optional Breakfast Discussion Groups
Group 1: A Deeper Look at the SEC’s Private Fund Unit: What’s New, How to Improve
The PFU’s mission is to apply industry and product knowledge to conduct focused, risk-based examinations using OCIE’s limited resources. This Unit plays a critical role in the Division of Investment Management’s Private Funds Group. This discussion group will focus on PFU’s current areas of focus, findings, and specific action points to include to step up your compliance program. Discussions will include:

  • Role of operating partners
  • Website & other disclosure
  • Fees & expense focus
  • LP Agreements disclosures Valuation
  • Co-investment allocations

SEC concerns about dual roles (such as CFOs as CCOs)

Group 2: Marketing, Advertising, General Solicitations and Social Media: Going Beyond “Mad Men”
Always a topic in deficiency letters, often the subject of enforcement actions. Come to this discussion group to refresh and update your thinking on marketing/advertising, general solicitations and social media. Delve into marketing, including presentation of performance and use of social media from the perspective of recent OCIE findings and current focus, and consider the requirements unique to private investment funds.

Group 3: Understanding CFTC & NFA Regulations
Go beyond the universe of the Advisers Act and discover how these additional regulators could impact your firm’s business practices and your compliance program.

Group 4: Women in Compliance
Hear prominent women in compliance discuss their journey through the ranks and focus on skill sets that are helpful to women taking the leadership roles in their compliance program.

Group 5: ACM Group
Has your firm implemented Ascendant Compliance Manager or are you considering it? Do you have questions about how to fully utilize ACM? Join this discussion group to network with developers to understand the full strength of ACM.

8:30-8:45

Opening Remarks & Raffle

8:50-9:45

Cybersecurity Doesn’t Have to Be a Black Hole for the Compliance Professional
Cybersecurity is certainly an area of focus for the SEC and, therefore, is a topic of concern for compliance professionals. This panel will discuss what every compliance professional needs to know about cybersecurity, including SEC document request and exam focus. The panelists will discuss how to identify cyber threats/risks, the questions to ask IT support and service providers, and how to demonstrate your oversight of cybersecurity risks.

9:50-10:45

Special Presentation Roberta Karmel 75th Anniversary of the Advisers Act – How Far We’ve Come

10:50-11:00

Networking Break

11:00-12:00

Earth to ERISA: Anyone Out There?
In April 2015, the Department of Labor re-proposed its fiduciary standard rule to expand the scope of parties who may be deemed fiduciaries under the Employee Retirement Income Security Act of 1974, as amended (ERISA). SEC Chair Mary Jo White has expressed that the SEC is considering its own fiduciary requirements.

  • ERISA Basics: What is Required Under ERISA?
  • Who is a Fiduciary?
  • What is the 25% threshold? How can it impact non-ERISA clients?
  • Understanding Prohibited Transactions Exemptions

Fee Disclosure Under Rule 408(b)(2) and the Proposal for a Fee Disclosure Guide

12:05-1:00

Big Data: Using Data Analytics to, Manage Risk, Perform Effective Compliance Monitoring and Detect Fraud
Discussion and evaluation of how to effectively utilize data in surveillance analytics. Beginning with an understanding of the SEC’s use of data mining, how to capture in your analytics, and discussing the expanding universe of tools available in the industry to assist in your compliance surveillance. Identify which data to chase and effective tools at your disposal.

End of Conference

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Fusce auctor augue in pellentesque sagittis. Integer in molestie neque, eu blandit sem. Donec dapibus orci ornare mauris aliquet condimentum. Duis vel lectus in nisi auctor finibus at sit amet augue. Etiam in quam tellus. Aliquam iaculis vitae metus at lacinia. Lorem ipsum dolor sit amet, consectetur adipiscing elit. Nullam congue ac sem a sagittis. Vestibulum eu imperdiet odio, nec iaculis velit. Integer at neque non sem vehicula tristique. Nullam mollis dolor in quam suscipit fermentum et ut augue.

Hyatt Regency Scottsdale Resort and Spa at Gainey Ranch

7500 E. Doubletree Ranch Road, Scottsdale, Arizona, USA 85258
Tel: +1 480 444 1234 Fax: +1 480 483 5550
Email: resscott@hyatt.com
Web: http://scottsdale.hyatt.com/en/hotel/home.html

This extraordinary Four-Diamond resort combines the beauty of the desert southwest along with spectacular guest room and recreational options. The Hyatt at Gainey Ranch features a stunning open-air lobby with floor to ceiling views of mountains, lakes and golf, creating a memorable arrival and relaxation area for guests. Vibrant dining and entertainment options include the Lobby Bar, with live music nightly, indoor/ outdoor seating areas, fireplaces and gondola rides throughout the resort waterways, and all-new Canyon Marketplace. Spa Avania features 18 treatment rooms, an outdoor heated mineral pool, state-of-the-art exercise facility, steam and sauna, and a full service salon. For golfers, the Gainey Ranch Golf Club is an exclusive, private golf club available only to guests of the resort and private members, offering a 27 hole championship golf course, which is rated one of the top courses in the country, and situated right next to the hotel. The resort also offers for relaxation and exercise a 2 ½ acre water oasis with 10 interconnecting pools and sandy beach, jogging paths and bicycling trails with available onsite bicycles and four lighted tennis courts. A complimentary shuttle is offered to Camelback Mountain for hiking, and to Old Town, Fashion Square, Borgata & Kierland Commons for shopping.

Hotel Reservations

Ascendant Compliance Management has reserved a block of rooms with a group rate of $279.00 per night at the Hyatt Regency Scottsdale for the nights of September 28 – October 2, 2015. 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, as well as take advantage of any room upgrades, amenities or other services offered by the hotel. To access the website, please click the following link:

https://resweb.passkey.com/go/AscendantCompliance

Or, to speak with a reservations agent to make your reservation, please call 800-233-1234 and ask for the Ascendant Compliance Management block for the conference to be held at Hyatt Regency Scottsdale. The room rate of $279.00/ night single or double is offered 3 days before and 3 days after the conference based upon space and rate availability. The hotel room reservation cut-off date is August 28, 2015. Make your reservations early, to be assured a room at this fabulous resort.


Notice: Hotel Reservation Update

The Hyatt Regency Scottsdale is now sold out for the night of October 1st. However, the Gainey Suites Hotel at 7300 East Gainey Suites Drive, Scottsdale, AZ 85258 does have rooms available. It is about half a mile from the Hyatt and is offering a rate of $179 to our group for the night of Thursday, October 1st. This rate will apply to any pre/ post nights based on availability.

Please call 480.922.6969 or toll free at 800.970.4666 for reservations and mention the “Ascendant Compliance Conference” to receive the rate of $179 a night. Both numbers are direct dials to the hotel.

Gainey Suites – Map

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Ground Transportation

The Hyatt Regency Scottsdale Resort and Spa at Gainey Ranch is conveniently situated about 18 miles from Phoenix Sky Harbor International Airport. Taxi cabs are available outside the baggage claim area with one-way fares of approximately $50 and a ride of 20 – 30 minutes. Town cars offered by Transtyle Sedan & SUV Services can be arranged through the Concierge at the resort Ph: 480-444-1234, at $50 each way (the car doesn’t leave for the airport until a request call is received) or Meet and Greet at $70 each way. Alternatively, there is a Super Shuttle with a fare of $22 one way which will make stops en route to the Hyatt at Gainey Ranch. The Super Shuttle picks up at the island marked Van Service outside baggage claim.

Local Attractions

  • Shopping / Scottsdale Waterfront / Old Town Scottsdale
  • Art galleries / Scottsdale Museum of Contemporary Art / Heard Museum of Native Cultures and Art
  • Tomcar Tours / Canyoneering / Horseback Riding
  • Sedona and Grand Canyon Adventures
  • Hot air balloon flights

Hyatt Regency – Map

[map_canvas id=”hyatt” long=”33.566910″ lat=”-111.918562″ info_title=”Hyatt Regency Scottsdale Resort and Spa” info_address=”7500 E. Doubletree Ranch Road, Scottsdale, Arizona, USA 85258″ info_telephone=”800-233-1234″]

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