Second Annual
Chief Compliance Officer Workshop

March 13, 2007
Bayards, New York City (Map)


   

Preliminary Agenda

  8:30    Registration and Continental Breakfast

  9:00    Chairperson's Opening Remarks
               Todd Cipperman, Principal
               Cipperman & Company

  9:15    Testing Requirements: What Have We Learned Since
             Last Year's Implementation?
               Moderator:
                 Richard Marshall, Partner
                 Ropes & Gray
               Panelists:
                 Brian Shapiro, Chief Executive Officer & President
                 CarbonBased Consulting
                 Janaya Moscony, CFA, President
                 SEC Compliance Consultants, Inc.
                 William E. Zitelli, Attorney
                 Cipperman & Company
                 Helen Foo, Product Manager, Compliance
                 Charles River Development

 10:00   Benchmarking Your Firm's ongoing Compliance Monitoring
               Noel Friedman, CFA, Managing Director, Research Products
               KLD Research & Analytics, Inc.
               Josephine LaFauci, Vice President
               Gabelli & Company, Inc.

 10:45    Refreshment Break

 11:00   Monitoring for Best Execution: A Practical Guide
               Jeff Hudson, Chief Executive Officer
               Vhayu Technologies Corporation
               Robert Bond, President
               Softek
               Robin Hodgkins, President
               Cogent Consulting LLC
               Brian Shapiro, President & CEO
               CarbonBased Consulting

 11:30   Soft Dollars: Understanding, Applying and monitoring the
             New Guidelines
               Robin Hodgkins, President
               Cogent Consulting LLC
               Maureen Shankar, Vice President
               Instinet

12:15    Implementing, Analyzing and monitoring an e-mail and
             Instant Messaging compliance Program
               David Campbell, Product Manager
               Symantec Information Foundation
               Julian Bobb, Associate
               WilmerHale

  1:00    Luncheon

  2:00    developing and Administering Your Firm-wide Code of Ethics
               Dianne M. Sulzbach, Associate
               Morgan, Lewis & Bockius LLP

  2:45    Dealing with the SEC Examination Process
               Jeffrey Cobb, Esq., Partner
               Cobb & Associates LLC

  3:15    Refreshment Break

  3:30    Where DoES THE CCO fIT iNto aN aNTI-mONEY lAUNDERING
             cOMPLIANCE Program?
               Moderator:
                 Ruth Calaman, Vice President and Compliance Officer
                 The Goldman Sachs Trust Company, N.A.

  4:15    Workshop Concludes