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