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Surviving an SEC Audit after Madoff

Tuesday, May 19, 2009

4:00 p.m. – 5:00 p.m.

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This program has been accepted by the CFP Board for 1 CE credit and by IMCA for 1 non-IMCA CIMA credit. It has also been accepted by the American College for 1 PACE credit.

Download the non-IMCA CIMA CE submittal form

Viewers are eligible for CE credit up to 1 year from the live event.

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Leading advisers and a former senior SEC enforcement chief discuss how to prepare for — and handle — an SEC audit in light of the Madoff scandal.

Key topics covered during the webcast will include:

• SEC’s major concerns
• Preparation techniques after the scandal
• Pros and cons of using a third-party provider
• Changes in the SEC examiner’s role
• Preparing for audit changes on the horizon

Listen to our expert panelists discuss their SEC audit experiences and what to expect from the agency as a result of recent scandals.

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Moderators:

	Jim Pavia Editor InvestmentNews
	Evan Cooper Deputy Editor InvestmentNews

Panelists:

	Kevin J. Hermening, CFP Managing Partner Hermening Financial Group LLC
	Glenn G. Kautt, CFP, EA, AFIA President, Chairman and Chief Investment Officer The Monitor Group Inc.
	Richard Marshall, J.D. Partner, Investment Management and Securities Litigation Groups Ropes & Gray

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