How Investment Professionals Are Impacted By The Current SEC Regulatory Landscape
Date, Time, and Location:
Tuesday, March 30, 2004 (add this event to your Outlook Calendar)
8:00 a.m. - 12:30 p.m.
Bell, Boyd & Lloyd, LLC, 70 W. Madison, 4th Floor Conference Center Chicago, IL 60602 (Driving Directions)
investment professionals must be aware of the impact of new rules and regulations. In this
seminar, a broad spectrum of professionals will guide you through the flurry of new rule-making,
advise you on managing the complexities of regulatory policies, and provide you with insight into the training and enforcement of the rules within an organization.
- Securities and Exchange Commission's (SEC) top priorities for 2004
- Overview of current and upcoming SEC regulatory initiatives
- Practical aspects of complying with SEC priorities
- Real-life application of compliance rules
8:00 - 8:30 a.m. : REGISTRATION/NETWORKING/CONTINENTAL BREAKFAST
8:30 - 8:35 a.m. : WELCOME REMARKS - Gautam Dhingra, CFA, High Pointe Mgmt, LLC
8:35 - 9:30 a.m. : Jeannette Lewis, JD, Securities and Exchange Commission
9:30 - 10:15 a.m. : Donald Weiss, JD, Bell, Boyd & Lloyd; Veena Jain, JD, Bell, Boyd & Lloyd
10:15 - 10:30 a.m. : BREAK
10:30 - 11:15 a.m. : Cary Stier, Deloitte & Touche; Laura Reed, Deloitte & Touche
11:15 - 12:00 p.m. : Pamela Conroy, Institutional Capital Corporation
12:00 - 12:30 p.m. : CONCLUSION/QUESTIONS AND ANSWERS
As a participant in the AIMR Approved-Provider Program, the
Investment Analysts Society of Chicago has determined that this
event qualifies for credit for the AIMR Professional Development
Program. Eligible for 4 credit hours.
Jeannette Lewis, JD, Senior Special Counsel, Division of Regulation - SEC
In 1988, Ms. Lewis joined the Midwest Regional Office of the U.S. Securities and Exchange Commission as a staff attorney in the Division of Enforcement. In 1992, she was promoted to Branch Chief, a first line supervisor, with responsibility for supervising staff attorneys conducting investigations into and litigation of violations of the federal securities laws. In 1995, she was again promoted to Assistant Regional Director, a second line supervisor, supervising branch chiefs, staff attorneys and paralegals conducting investigations and litigation of various fraudulent activity, including insider trading, accounting fraud, market manipulation, front-running and performance advertising. In December 1999, Ms. Lewis was named the Senior Special Counsel for Regulation providing legal advice on all areas of the brokerage and investment management communities, including, broker-dealers, transfer agents, clearing agents, investment advisers and investment companies.
Donald Weiss, JD, Member - Bell, Boyd & Lloyd
Donald S. Weiss, a member of Bell, Boyd & Lloyd LLC in the firm.s Corporate Department, has over 25 years experience in co
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