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2006 CCO
Training Series
Chief Compliance Officer Workshop
Preparation for April 6 and
Beyond!
March 15, 2006
Bayards, New York City
(Map)
Agenda
8:00
Breakfast
8:30 Testing
Requirements: Preparing for the April 6th
deadline
and Ongoing Compliance
Brian Shapiro, President
CarbonBased Consulting
Richard Marshall, Partner
Kirkpatrick & Lockhart Nicholson
Graham
9:30
Benchmarking Your Firm's ongoing
Compliance Monitoring
Graham Sinclair,
Product Manager
KLD Research & Analytics, Inc.
Richard Biegen,
Managing Director, Director of Global Compliance
AIG Global Investment
Robert S. Tull,
Senior Consultant
SEC Compliance Consultants
10:30 Refreshment Break
10:45
Monitoring for Best
Execution: A Practical Guide
Jeff Hudson,
Chief Executive Officer
Vhayu Technologies
Robert Bond,
President
Softek
11:30
Soft Dollars:
Understanding, Applying and monitoring the
New
Guidelines
Matthew Eisenberg, Esq.,
Partner
Cobb & Eisenberg LLC
Robin Hodgkins,
President
Cogent Technologies
12:15
Implementing, Analyzing and monitoring
an e-mail and
Instant
Messaging compliance Program
Art Gilliland,
Director, Product
Marketing
Symantec Corporation
Lori Martin,
Partner
Wilmer Cutler Pickering Hale & Dorr
1:00
developing
and Administering Your Firm-wide Code of Ethics
Karen Aspinall,
Associate, Investment Management Practice
Morgan, Lewis & Bockius LLP
1:30 Workshop Concludes
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