CFA Society Chicago Events

Event Detail

Step Up Your Due Diligence for the New Environment (Ended)

Date, Time, and Location:
Wednesday, April 04, 2012 (add this event to your Outlook Calendar)
4:30 pm CT
The Chicago Club    81 East Van Buren Street, Chicago, IL  60605   (Driving Directions)

Douglas Johnston, Rick Summer, and Francine McKenna Panelists:
Douglas Johnston, CFA - Vice President/Sr. Research Analyst, Nuveen Asset Management
Rick Summer, CFA, CPA, - Senior Equity Analyst, Morningstar, Inc.
Francine McKenna - freelance journalist for Forbes and American Banker

Date, Time, and Location:
Wed., April 4, 2012
4:30 - 6:30 pm
The Chicago Club, 81 East Van Buren Street, Chicago, IL 60605

Program Description:
With new regulatory requirements [and new regulatory arbitrage opportunities], clients exploring new asset classes in search of yield, and increased economic risks, hear from a panel of experts on how to improve your due diligence of available filings.

You'll learn how experts comb through SEC filings in a fast, efficient manner, and how you can apply findings to your investment decisions. Join us to gain insights on new regulatory requirements, what they mean for a variety of asset classes, and how to determine the correlation between due diligence results and investment opportunities.

Fee:
Members - $45
Non-Members - $55
Student-Members - $20
(payable by cash, check, credit card or function ticket)*

CFA Institute Qualified Activity: Eligible for 1 credit hour

Attire:
Business Casual

For Reservations:
Register online below, or by phone: 312-251-1301

Agenda:
4:30-5:15 pm - Registration and Networking Reception (light snacks and refreshments)
5:15-6:30 pm - Program

Panelists:
Douglas Johnston, CFA, is Vice President, Senior Research Analyst and is responsible for covering tax-exempt corporate backed Industrial Development Bonds, utilities/public power, transportation, project finance, materials, autos and tax-backed credits. Johnston has been with Nuveen since 1999. Before joining Nuveen Asset Management as a credit analyst Johnston served in the Fund Product Management and Development Group at Nuveen where he was responsible for financial modeling and ongoing surveillance of fund earnings and dividend levels for both open-end and closed-end funds. Prior to joining Nuveen, Johnston worked for an options trading firm at the Chicago Board of Trade.

Johnston received a B.A. in Business and Economics from Wheaton College. He is series 7- and 63-licensed, holds the CFA designation, and is a member of the CFA Institute and the CFA Society of Chicago.

Rick Summer, CFA, CPA is a senior equity analyst for Morningstar, covering Internet and technology companies. He joined Morningstar in 2005 as an equity analyst, covering software and hardware companies. He has operating experience in the wireless and software infrastructure industries and has worked as a private equity investor with UBS Global Asset Management.

Summer holds a bachelor's degree in business administration from Emory University and a master's degree in business administration from the University of Chicago Booth School of Business. He also holds the Chartered Financial Analyst (CFA) designation and is a Certified Public Accountant (CPA).

Francine McKenna (@retheauditors on Twitter) is a freelance writer with credits in the Financial Times, Forbes.com, American Banker, Accountancy Age, Accountancy Magazine, The Columbia Journalism Review, Boston Review, the FEI Blog, and various financial,media, and technology blogs. She has a column at Forbes.com under the heading “Accounting Watchdog” and at American Banker as “Accountable”. McKenna also had a weekly column at GoingConcern.com from July 2009 to July 2010.

re: The Auditors is her specialized news site about the business of the Big 4 audit firms. Stories explore the role, responsibility and regulation of the audit/accounting industry in the global capital markets in an independent, objective, and usually critical way. Ms. McKenna was a finalist for the 2010 Gerald Loeb Award for Distinguished Financial and Business Journalism in the online commentary and blogging category.

McKenna has been quoted by the New York Times, Wall Street Journal, Chicago Tribune, Financial Times, Forbes, Australian Broadcasting Company, BusinessWeek, The Deal, The Times of London, the Guardian, the Sunday Times of Dublin, and the Financial Chronicle (India) amongst many others. She has been profiled by accounting and social marketing/media sites. Her public speaking credits include private training, university teaching, and speeches for the New York County Lawyers Association, the New York State Society of CPAS, Columbia University, James Madison University, North Carolina State University, the American Accounting Association, the Institute of Internal Auditors, the Information Systems Audit and Control Association, and the Maryland Association of CPAs.

McKenna has more than twenty-five years of experience in a range of industries in the consulting and professional services environment. McKenna directed the Y2K PMO for JP Morgan in Latin America and was the first female Managing Director for BearingPoint in Latin America, responsible for the Industrial, Automotive and Transportation practice. She was a RVP for Jefferson Wells/Manpower and a Director for PricewaterhouseCoopers LLC, auditing PwC the firm itself. She held various positions in accounting and financial management prior to her career in professional services and began her career as an internal auditor at Continental Illinois National Bank and Trust in Chicago.

She is fluent in Spanish, as well as her native English, and can provide services in either language. Her firm, McKenna Partners LLC, is a specialized consultancy that advises other professional services firms. These services include consulting on litigation involving the audit firms, in particular if there are complaints alleged related to member firms outside of the United States.

*Special Notes Regarding Fees:
Student rate only available to students approved as a Student-Member of CFA Chicago for 2011-2012. Regular and Affiliate Members may apply function tickets as payment for Non-member or Student-Member. Credit card is required to guarantee ALL reservations except for ONLINE reservations using FUNCTION TICKETS. No day-of-event pre-registrations accepted (on-site only, if applicable and space available). There is a $5 surcharge for walk-ins. Visa, MasterCard, American Express, Discover and Diners Club are accepted. Cancellations accepted until 5:00 pm, March 30.

A Passport Event This is a "Passport Program." Members of any local CFA society may attend at the CFA Chicago member rate. If you are only a member of CFA Institute, you do not qualify for the society member rate.

This program qualifies for credit under the guidelines for the CFA Institute Continuing Education Program. Please click here if you would like more information.

By registering for and attending this event, you acknowledge that any photographs that may be taken are the property of CFA Chicago and give your consent to their use in CFA Chicago's online and print business communications and marketing.