Outreach Seminar for Compliance Professionals: Investment Advisers and Investment Funds. Tuesday 15 July 2014

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1 United States Securities and Exchange Commission Outreach Seminar for Compliance Professionals: Investment Advisers and Investment Funds This seminar is designed to promote communication between the U.S. SEC staff and industry participants in the Channel Islands on compliance issues of relevance to Investment Advisers and Collective Investment Funds. The training will provide an overview of the SEC s regulatory framework over Investment Advisers, including Advisers to Collective Investment Funds, an overview of the SEC s examination and enforcement programmes, and ways in which firms can build an effective compliance programme. The seminar will be a forum to discuss compliance issues in a practical way, to share experiences, and to learn about effective compliance practices. The seminar is designed for Chief Compliance Officers and other Senior Officers of Investment Advisers and Collective Investment Funds and will emphasise the importance of compliance throughout adviser firms business operations. To be held at Radisson Blu Waterfront Hotel St Helier, Jersey

2 Outreach Seminar for Compliance Professionals: AGENDA 08:30 Registration 09:00 Welcoming Remarks, Programme Structure, and Objectives FSC Representative 09:15 Introduction to the United States Regulatory Oversight of Investment Adviser and Funds Speaker: David Woodcock 10:00 U.S. SEC Exam Initiatives, Priorities, and Current Topics Speaker: Jim Reese 11:00 Refreshments 11:30 Building an Effective Compliance Programme Speaker: David Woodcock 12:30 Lunch 13:30 SEC Exam Process Speaker: Jim Reese 14:00 Introduction to the U.S. SEC Enforcement Programme Speakers: Kurt Gresenz and Erin McCartney 15:15 Refreshments 15:45 Q&A 16:30 End of Day s Programme

3 Outreach Seminar for Compliance Professionals: INFORMATION ON THE SPEAKERS David Woodcock is the Regional Director of the Securities and Exchange Commission s Fort Worth Regional Office and Chair of the Enforcement Division s Financial Reporting and Audit Task Force. In his role as Regional Director, David oversees the enforcement and examination activities in Texas, Oklahoma, Arkansas, and Kansas. As Chair of the Fraud Task Force, David oversees a group of accountants and attorneys focused on proactively detecting, investigating, and deterring financial reporting fraud. Prior to joining the SEC, David was a partner at Vinson & Elkins LLP, specialising in securities litigation, SEC enforcement, and accounting/auditing litigation. Before beginning his legal career, David practiced public accounting for several years at Price Waterhouse LLP and Ernst & Young LLP. He earned his bachelor s degree in accounting from Louisiana State University and a JD from the University of Texas School of Law. David also served as a law clerk to federal district judge Howell Cobb. Jim Reese is the Assistant Director for the Office of Risk Analysis and Surveillance within the Office of Compliance Inspections and Examinations (OCIE). In this role, Jim leads a centralised unit within OCIE that is responsible for enhancing OCIE s ability to target those firms, individuals and practices that present the greatest risks to investors, markets and capital formation. Prior to his current position, Jim was a Senior Staff Accountant for the risk and surveillance function in the Office of Investment Adviser/Investment Company Examinations, where he developed risk metrics for registered entities and developed tools for monitoring and reporting on their activities. Jim had previously been a branch chief and staff accountant in OCIE, joining the Commission in Prior to joining the SEC, he was a financial analyst in Virginia and interned with Morgan Stanley and Prudential Securities. Jim has a degree in finance from Virginia Wesleyan College and is a Certified Fraud Examiner, and has participated in several technical assistance programmes worldwide during his 15 years with the Commission, including conducting training programmes with OIA in Saudi Arabia, Trinidad & Tobago, India, Cape Verde and Turkey. Kurt Gresenz is an Assistant Director in the Office of International Affairs, responsible for international enforcement. Kurt started his career at the SEC in the Division of Enforcement in He was also on the management team and a principal investigator in the SEC s Enron investigation, in which the SEC has filed more than a dozen civil enforcement actions, charged more than two dozen individuals with securities fraud and recovered more than $400 million for innocent investors. Kurt received an award from the Director of the Federal Bureau of Investigation (FBI) for his work with the FBI on the Enron investigation. Prior to coming to the SEC, Kurt was a partner of a litigation firm in Los Angeles, California. He took a leave of absence from the firm in 1998 to serve as a trial attorney for the City of Los Angeles, prosecuting criminal cases. While at the SEC, Kurt has received several awards for his investigations, served on the SEC s Advisory Committee for the Chairman s Tips, Complaints, and Referrals initiative. Kurt is a frequent speaker on various international enforcement topics, both in the U.S. and abroad where he has conducted SEC training programmes in Colombia, Jamaica, Vietnam, Saudi Arabia, Pakistan, Turkey, Trinidad & Tobago, South Africa, Guatemala, Malta, Mexico, Canada, and Barbados. Erin McCartney is a Branch Chief in the SEC s Office of International Affairs where she helps manage the SEC s international technical assistance programme, as well as assists in international investigations and enforcement matters. Prior to joining OIA, Erin worked in the SEC s Enforcement Division as a staff attorney where she worked on cases involving accounting fraud, brokerdealer issues, investment adviser issues, and violations of the Foreign Corrupt Practices Act. She was part of a team that brought a case against American International Group, Inc. (AIG) for fraud, resulting in AIG paying disgorgement, interest, and penalties in the amount of $126 million to settle both civil and criminal charges. In 2006, Erin took a leave of absence from the SEC to take a position in Baghdad, Iraq with the Department of State, Iraq Reconstruction and Management Office, Office of Private Sector Development. While in Iraq, Erin led the project to draft a permanent securities law for the Government of Iraq, working closely with the Iraq Securities Commission and the Iraq Stock Exchange, as well as American advisors. Erin also assisted the Iraq Securities Commission in drafting regulations that were necessary to regulate and oversee the Iraqi capital market. Erin received her undergraduate degree from Florida State University in International Relations. Erin attended the University of San Diego for legal studies, during which time she was a Lead Articles Editor for the San Diego Law Review and externed for Magistrate Judge Stiven in the U.S. District Court for the Southern District of California.

4 Registration Form(s) Outreach Seminar for Compliance Professionals: Please type or write in block capitals. Company: Address: Contact Name: Telephone: For multiple delegates please complete the section(s) below and overleaf.

5 Registration Form(s) Outreach Seminar for Compliance Professionals:

6 Booking Information Outreach Seminar for Compliance Professionals: RESERVATIONS The cost of the seminar is 250 per delegate. Payment can be made via BACS or by cheque. Total Number of Delegates: Total Payment: Paid by BACS: Paid by Cheque: For BACS payments: Bank Name Jersey Fin Serv Comm; Account No ; Sort Code BIC MIDLGB22; IBAN GB35MIDL Please quote reference: SEC along with your name and organisation. Please make cheques payable to: Jersey Financial Services Commission. Bookings should be made on the official Registration Form provided. PLEASE RETURN COMPLETED REGISTRATION FORM(S) BY MONDAY 30 JUNE 2014: to: Post to: Charmaine King Outreach Seminar for Compliance Professionals Jersey Financial Services Commission PO Box Castle Street, St Helier Jersey, JE4 8TP. Telephone: An confirmation will be sent to acknowledge receipt of your registration and confirm your place(s). DELEGATE PLACES Delegate places will be issued on a first come, first served basis. Whilst every effort will be made to accommodate all applicants, the Jersey Financial Services Commission reserves the right to limit the number of delegates per organisation. CONFERENCE PROGRAMME Please note that timings of the seminar sessions may be subject to change without prior notice. LUNCH AND REFRESHMENTS Refreshments and lunch are included. CANCELLATIONS/REFUNDS No refunds will be made but substitutions can be made if a delegate is unable to attend. CONFERENCE VENUE Radisson Blu Waterfront Hotel Rue de l Etau St Helier, Jersey, JE2 3WF. DATA PROTECTION STATEMENT Personal data provided to the Commission - a data controller as defined in the Data Protection (Jersey) Law will be used by the Commission to discharge its statutory, administrative and operational functions. Further information may be found in the Commission s Data Protection Policy, copies of which are available on request from the Commission and which may also be found on

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