SPEAKING ENGAGEMENTS 2009
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
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 |
| ***** | |
February
There are currently no events scheduled | |
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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 |
| ***** | |
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 |
| ***** | |
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 |
| ***** | |
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 |
| ***** | |
July
There are currently no events scheduled | |
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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 |
| ***** | |
October
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November
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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 |
| ***** | |