Compliance Outreach Program, New York Regional Office, June 18, 2015, Agenda (Non-Private Fund)

Registration (12:00 pm - 12:30 pm)

Welcome and Opening Remarks (12:30 pm - 12:45 pm)

  • Andrew Calamari, Regional Director, New York Regional Office

Panel 1: FY2015 Priorities and Initiatives Relevant to Non-Private Funds (12:45 pm - 1:15 pm)

  • William J. Delmage, Assistant Director
  • Joseph P. DiMaria, Assistant Director
  • Joseph S. Hirsch, Senior Staff Accountant

Panel 2: Asset Management Unit Update (1:15 pm - 1:45 pm)

  • Panayiota Bougiamas, Assistant Director, Division of Enforcement, AMU
  • Valerie Szczepanik, Assistant Director, Division of Enforcement, AMU

Panel 3: Cybersecurity Issues (1:45 pm - 2:15 pm)

  • Christopher Hetner, Cybersecurity Lead, National Exam Program
  • Azam Riaz, Staff Accountant

Break (2:15 pm - 2:30 pm)

Panel 4: Broker-Dealer/Investment Adviser Business Model Issues (2:30 pm - 3:00 pm)

  • David Eidelman, Exam Manager
  • Michael Paolo, Exam Manager
  • Thomas Shupe, Staff Accountant

Panel 5: Retirement Initiative (3:00 pm - 3:30 pm)

  • Dawn Blankenship, Assistant Director
  • Gerard Sansobrino, Exam Manager

Panel 6: Investment Company Issues (3:30 pm - 4:00 pm)

  • Raymond J. Slezak, Assistant Director
  • Linda Heaphy, Exam Manager
  • Nell Spekman, Staff Accountant

Open Q&A/Closing Remarks (4:00 pm - 4:30 pm)

  • All Panelists