CCO REGIONAL ROUNDTABLES

Chicago Roundtable with Sidley Austin LLP - July 22nd

Compliance in a Post-Crisis, Post-Madoff World

A panel of experts will discuss the impact of recent regulatory developments on investment adviser compliance risks and challenges.

Our goal is make this program as relevant and helpful to you as we possibly can. Please help us to develop the most valuable program by letting us know the topics you would like to see addressed (including any not listed below) when you reply with your RSVP to rsvp@sidley.com.

Topics to be addressed may include:

• Custody and safekeeping of client assets
• Portfolio and investment mandate compliance
• Marketing, advertising and investor communications
• Third-party solicitation and pay-to-play arrangements
• Current SEC examination observations
• Valuation
• Trade allocation

Agenda:

8:00 a.m.- Registration and Breakfast

8:45- 10:00 a.m. Panel Discussion

10:15-11:30 a.m. Interactive Roundtable Discussion

Location:

Sidley Austin LLP
One South Dearborn
Chicago, Illinois 60603

Please RSVP to rsvp@Sidley.com.

New York Roundtable with Sidley Austin LLP - July 22nd

Compliance in a Post-Crisis, Post-Madoff World

A panel of experts will discuss the impact of recent regulatory developments on investment adviser compliance risks and challenges.

Our goal is make this program as relevant and helpful to you as we possibly can. Please help us to develop the most valuable program by letting us know the topics you would like to see addressed (including any not listed below) when you reply with your RSVP.

Topics to be addressed may include:

• Custody and safekeeping of client assets
• Portfolio and investment mandate compliance
• Marketing, advertising and investor communications
• Third-party solicitation and pay-to-play arrangements
• Current SEC examination observations
• Valuation
• Trade allocation
• Best execution and soft dollars

Agenda:

8:00 a.m.- Registration and Breakfast

8:45- 10:00 a.m. Panel Discussion

10:15-11:30 a.m. Interactive Roundtable Discussion

Location:

Sidley Austin LLP
787 Seventh Avenue
New York, NY 10019

Please RSVP to rsvp@Sidley.com.

Richmond Roundtable with LeClair Ryan- August 17th

Los Angeles Roundtable with Sidley Austin LLP - TBD