Compliance Outreach Program
New York Regional Office
September 13, 2013

Agenda

Registration (9:00 am – 9:30 am)

Welcome and Opening Remarks (9:30 am – 9:45 am)

• Ken C. Joseph, Associate Director, New York Regional Office Examination Program

Panel 1: Newly Registered Advisers (9:45 am – 10:45 am)

• William J. Delmage, Assistant Director
• Linda A. Heaphy, Exam Manager
• Nell Spekman, Staff Accountant
• Joseph P. DiMaria, Assistant Director
• Raymond J. Slezak, Assistant Director

Break (10:45 am – 11:00 am)

Panel 2: Form PF (11:00 am – 11:45 am)

• Anthony Fiduccia, Assistant Director
• Marc Wyatt, Senior Specialized Examiner, National Exam Program
• Alpa Patel, Senior Counsel, Division of Investment Management

Panel 3: Recent Developments (11:45 am – 12:30 pm)

• Kathleen Furey, Senior Counsel
• Jon Hertzke, Assistant Director, Division of Investment Management, Risk and Examinations Office
• Kenneth O’Connor, Exam Manager, Division of Investment Management, Risk and Examinations Office
• Valerie Szczepanik, Assistant Director, Division of Enforcement, AMU

Break (12:30 pm – 12:45 pm)

Panel 4: Investment Advisers and Dual Registration (12:45 pm – 1:30 pm)

• Dawn M. Blankenship, Assistant Director
• George DeAngelis, Assistant Director
• Jennifer A. Grumbrecht, Assistant Director
• Jennifer Klein, Exam Manager

Closing Remarks/Q&A (1:30 pm – 1:45 pm)

• Ken C. Joseph, Associate Director