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AGENDA
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I. | Introduction (9:00-9:15) Welcome and Introduction to CCOutreach
Opening Message |
II. | The Role of the CCO and the Annual Review (9:15-10:45)
Gene A. Gohlke (Office of Compliance Inspections and Examinations)(moderator), Robert E. Plaze (Division of Investment Management), Aaron D. De Angelis (Brandywine Asset Management), James M. Davis (Franklin Templeton Investments)
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Break 10:45-11:00* | |
III. | Exams and Inspections (11:00 – 12:15) Kevin W. Goodman (SEC Pacific Regional Office)(moderator), Kimberly Garber (SEC Fort Worth District Office), Teresa L. Sanderson (Flippin, Bruce and Porter), Mary E. Keefe (Nuveen Investments)
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Lunch: 12:15-1:45* | |
IV. | Trading and Market Issues (1:45-3:00) Meyer Eisenberg (Division of Investment Management)(moderator), Douglas R. Adams (SEC Midwest Regional Office), Rainey Rembert Woodward (GLOBALT Investments), Jeffrey Hiller (Merrill Lynch Investment Managers)
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Break: 3:00-3:15* | |
V. | Other Regulatory Issues (3:15 – 4:40) Robert E. Plaze (Division of Investment Management)(moderator), Gene A. Gohlke (Office of Compliance Inspections and Examinations), Andrew Beagley (Citigroup Asset Management), Wendy Fox (Ariel Capital Management)
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VI. | Closing Remarks (4:40-4:45) Meyer Eisenberg Acting Director, Division of Investment Management |
*Refreshments and lunch not provided. Dining and refreshment facilities are available at Union Station complex adjacent to SEC headquarters. Food and drink are not permitted in the auditorium.
http://www.sec.gov/info/ccoagenda1105.htm
Home | Previous Page | Modified: 10/26/2005 |