SPEAKING ENGAGEMENTS 2009

Click on the month to view the speaking engagements.


January

Ali-Aba Investment Adviser Regulation

Date:January 15, 2009
Topic:Private Advisers”
Sponsor:Ali-Aba Investment Adviser Regulation
Location:New York, NY
Speaker:Ted Eichenlaub
*****

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February

There are currently no events scheduled

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*****

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March

The Chicago CCO Group Meeting

Date:March 10, 2009
Topic:SEC Examination Trends
Sponsor:Sidley Austin LLP
Location:Chicago, IL
Speaker:Nick Batinich and Jeff Mersman
*****

2009 Mutual Funds and Investment Management Conference

Date:March 22-25, 2009
Topic:Avoiding Problems Before They Become Headlines
Sponsor:ICI
Location:Palm Desert, CA
Speaker:Nick Prokos
*****

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April

GAIM Ops Cayman

Date:April 26, 2009
Topic:Practical Tools and Best Practices to Protect Fund against the Risk of Money Laundering
Sponsor:GAIM
Location:Grand Cayman
Speaker:Nick Prokos
*****

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May

Greater Pittsburgh Compliance Roundtable

Date:May 19, 2009
Topic:Federal Trade Commission’s New Red Flags Rules
Sponsor:Greater Pittsburgh Compliance Roundtable
Location:Pittsburgh, PA
Speaker:Josh Broaded
*****

Ohio Valley Schwab Institutional Event

Date:May 28, 2009
Topic:Preparing for an SEC Examination
Sponsor:Charles Schwab & Co.
Location:Columbus, OH
Speaker:Luke Wilson
*****

DFW Compliance Roundtable

Date:May, 20 2009
Topic:Restructuring Financial Regulation – the Convergence of IA and BD Regulation
Sponsor:NSCP and ACA Compliance Group
Location:Dallas, TX
Speaker:Joel Sauer
*****

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June

Schwab Institutional Compliance Events

Date:June 10, 2009
Topic:Recent Regulatory Developments
Sponsor:Schwab Institutional
Location:Newport Beach, CA
Speaker:Daniel Smith
*****

Financial Technology Forum

Date:June 12, 2009
Topic:The SEC Unleashed
Sponsor:Financial Technology
Location:San Francisco, CA
Speaker:Daniel Smith
*****

Hedge Fund Regulatory and Compliance Update

Date:June 25, 2009
Topic:Compliance Updates
Sponsor:FRA
Location:New York, NY
Speaker:Ted Eichenlaub
*****

MidSouth Alternative Investment Association

Date:June 8, 2009
Topic:Regulatory and International Update Discussion
Sponsor:ACA Compliance Group
Location:Nashville, TN
Speaker:Barry Schwartz
*****

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July

There are currently no events scheduled

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*****

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August

There are currently no events scheduled

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September

Hong Kong International Regulatory Forum

Date:September 15, 2009
Topic:New US Regulations and Current Issues Focus on Mis-Selling : Can We Learn from International Experience
Sponsor:ComplianceAsia
Location:Hong Kong
Speaker:Robert Stype
*****

Singapore International Regulatory Forum

Date:September 17, 2009
Topic:New US Regulations and Current Issues, Marketing Funds Internationally, Handling Inspections- Local and Overseas
Sponsor:ComplianceAsia
Location:Singapore
Speaker: Robert Stype
*****

SEC Registration Webinar

Date:September 23, 2009
Topic:Registration and the New Regulatory Regime
Sponsor:Thomson Reuters
Location:Boca Raton, FL
Speaker:Barry Schwartz
*****

WTAS Compliance Roundtable

Date:September 29, 2009
Topic:Trends in SEC Examinations Ask the (Former) SEC Examiners
Sponsor:WTAS
Location: McLean, VA
Speaker:Robert Stype
*****

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October

There are currently no events scheduled

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*****

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November

There are currently no events scheduled

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December

Accounting, Auditing & Risk-Control Standards for Hedge Funds Conference

Date:December 10, 2009
Topic:Emerging Conditions of the Marketplace
Sponsor:FRA
Location:New York, NY
Speaker:Ted Eichenlaub
*****

FPA's National Capital Area Chapter Annual Meeting

Date:December 3, 2009
Topic:A look into the 2010 Regulatory Environment
Sponsor:FPA's National Capital Area Chapter
Location:Washington, DC
Speaker:Barry Schwartz
*****

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