Publications

Agenda

Below are links to materials for each panel. Click the location where you will be attending the seminar to view detailed agenda including times as these vary in Cincinnati, Cleveland and New York.

This program has been approved for 3.25 hours of CLE credit in Ohio. This activity has been approved by the Kentucky Bar Association Continuing Legal Education Commission for a maximum of 3.25 credits, including 0 ethics credits. This program has been approved in accordance with the New York State Continuing Legal Education Board for a maximum of 3.0 credit hours and can be applied toward the general requirement.

Changing the Rules of the Game - Advisers Act Regulatory Developments Materials

• Amendments to the Custody Rules
• Custody of Client Funds or Securities: 2010 Amendments to Investment Advisers Act Rule 206(4)-2
• Custody Rules PowerPoint Presentation
• Proposed "Pay to Play" Rules
• Red Flag Rules
• Regulation S-AM
• Model Privacy Notice

Panelists:

Cincinnati

• Michael Wible, Partner, Thompson Hine LLP
• JoAnn Strasser, Partner, Thompson Hine LLP
• Richard Holmes, Vice President and Counsel, Fifth Third Bank

Cleveland

• Michael Wible, Partner, Thompson Hine LLP
• JoAnn Strasser, Partner, Thompson Hine LLP
• Peggy McCaffrey, CPA, President & Audit Partner, Cohen Fund Audit Services, Ltd.
• Richard Zeiger, Senior Vice President and Managing Counsel, KeyBank National Association

New York

• Michael Wible, Partner, Thompson Hine LLP
• JoAnn Strasser, Partner, Thompson Hine LLP
• James Kaiser, CPA, Partner, Investment Management Group, BBD, LLP

               
Financial Regulatory Reform - How Will Advisers Fare? Materials

• Registration of Private Fund Advisers
• Investment Adviser and Broker-Dealer Standards of Care
• Self Regulatory Organization (SRO) for Investment Advisers
• Consumer Financial Protection Agency

Panelists:

Cincinnati

• David Rines, Partner, Thompson Hine LLP
• Scott Richter, Managing Director and Associate General Counsel, J.P. Morgan Asset Management
• Michael Moser, Vice President & Chief Compliance Officer, Western & Southern Financial Group

Cleveland

• David Rines, Partner, Thompson Hine LLP
• Richard Heller, Partner, Thompson Hine LLP

New York

• David Rines, Partner, Thompson Hine LLP
• Richard Heller, Partner, Thompson Hine LLP
• Emile Molineaux, General Counsel and Chief Compliance Officer, Gemini Fund Services, LLC

Compliance Focus Materials

• Investment Due Diligence (Private Placements, Sub-Advisers and Mutual Funds)
• SEC and State Examination Issues
• SEC Enforcement Focus
• Adequacy of Compliance Resources

Additional materials include:

• SEC Names New Specialized Unit Chiefs and Head of New Office of Market Intelligence
• SEC Investment Adviser Examination Letter (07.02.2009)
• SEC Investment Adviser Examination Letter (10.13.2009)
• SEC Investment Adviser Examination Letter (12.22.2009)
• December 2009 SEC Chicago Regional Office Document Request Letter
• Ohio Division of Securities Examination Notice and Document Request
• Sample Investment Adviser Compliance Manual Table of Contents

Panelists:

Cincinnati

• Donald Mendelsohn, Partner, Thompson Hine LLP
• Marc Collins, Of Counsel, Thompson Hine LLP
• Aaron Hutchison, Chief Compliance Officer, Horan Securities, Inc.
• Dave Carson, Chief Compliance Officer, The Huntington Funds

Cleveland

• Donald Mendelsohn, Partner, Thompson Hine LLP
• Marc Collins, Of Counsel, Thompson Hine LLP
• Chuck Booth, Director of Regulatory and Compliance Services, Citi Fund Services

New York

• Donald Mendelsohn, Partner, Thompson Hine LLP
• Marc Collins, Of Counsel, Thompson Hine LLP
• Jaime Desmond, Senior Vice President, Ladenburg Thalmann Asset Management
• Frederick Schmidt, Senior Vice President and Chief Compliance Officer, Citi Fund Services