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October 27, 2006
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8 a.m. – 8:45 a.m. |
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8:45 a.m. |
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Welcome Remarks
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9 a.m. – 10 a.m. |
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Panel #1: Regulation of Electronic Records
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Panelists: |
David M. Brodsky
Partner
Latham & Watkins LLP
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Bruce W. Maisel
Vice President, Distribution Law
Thrivent Investment Management Inc.
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Elaine H. Mandelbaum
Managing Director & Deputy General Counsel, Head of Regulatory Enforcement Group
Citigroup Global Markets Inc.
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Hans L. Reich
Senior Vice President and Regional Director
NASD
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Grace B. Vogel
Executive Vice President, Member Firm Regulation
New York Stock Exchange
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Moderator: |
Scott Kursman
Senior Vice President & Chief Counsel, Global Compliance
Lehman Brothers
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Topics Include:
- Current rules and interpretations and upcoming changes
- "Business as such" interpretations
- Future of the WORM standard
- Retention periods
- Tensions between broker-dealer and investment adviser regimes
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10 a.m. – 11 a.m. |
VIEW PDF |
Panel #2: Electronic Records in Enforcement Actions & Examinations
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Panelists: |
E. Regan Adams
Director & Counsel
Credit Suisse
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Antonia Chion
Associate Director
Division of Enforcement
U.S. Securities and Exchange Commission
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Julie Fendo-Lauck
Vice-President & Counsel, GMI Litigation
Merrill Lynch
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Ilene B. Marquardt
Executive Director & Deputy General Counsel
UBS Financial Services Inc.
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Mark Susens
Assistant Director, Technology and Strategic Programs
Enforcement Department
NASD
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John H. Walsh
Associate Director & Chief Counsel
Office of Compliance Inspections & Examinations (OCIE)
U.S. Securities & Exchange Commission
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Moderator: |
W. Hardy Callcott
Partner
Bingham McCutchen LLP
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Topics include:
- Effective responses to requests for electronic documents
- Coordinating requests from multiple regulators
- Negotiating responses with regulators
- Lessons learned from recent enforcement actions
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11:30 a.m. – 12:45 p.m. |
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Panel #3: Practicalities and Pitfalls of Electronic Records |
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Panelists: |
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Carol Burnet
Director, Equity Division
Nomura Securities International, Inc.
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Patrick Gordon
Principal Consultant
Compliant Systems Consulting, LLC
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Nikki Procopio
Director and Senior Regional Compliance Advisor
Deutsche Bank Americas
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Margo H.K. Tank
Partner
Buckley Kolar LLP
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Soo J. Yim
Partner
Wilmer Hale LLP
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Moderator: |
Christopher Gilkerson
Senior Vice President and Deputy General Counsel
Charles Schwab & Co., Inc.
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Topics Include:
- Translating regulations and interpretations into workable document retention policies
- Supervising new technology, including blogs, portable devices, etc.
- Defensible document destruction policies
- Technology solutions for archiving, indexing, etc.
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12:45 p.m. |
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Forum Concludes |
