June 7 , 2010

AMA Executive Conference Center-New York
1601 Broadway, New York, NY

The AMA has negotiated rates with several area hotels; however, the AMA does not arrange hotel accommodations. For more information, please go to www.amanet.org. When you are making your reservation, please be sure to mention that you are an AMA attendee (not NSCP) to secure your reservation and preferred rates. Reservations made after the cut-off date may be charged a higher rate. Please contact the hotels directly. Note that we recommend that reservations be made as early as possible as the number of rooms at preferred rates is limited.

FEE SCHEDULE - DATE OF ACTUAL RECEIPT BY NSCP GOVERNS RATES CHARGED.

If payment is received by: 4/27/2010 5/25//2010 On Site
NSCP Member of Record $300.00 $325.00 $450.00
Member Associate* $325.00 $375.00 $500.00
Non-Member $375.00 $425.00 $600.00

*Non-member from the same firm.

Discount for additional people from the same firm
In order to help compliance departments educate their compliance staff, NSCP is offering a 20% registration fee discount for each additional attendee from within the same firm. Look for the discount code in the first registered attendee’s confirmation e-mail. If you have any questions, please e-mail Liza Wentworth at lwentworth@nscp.org.

Sign up and pay online

Meeting Host
Financial Tracking, LLC

Meeting Sponsors
ACA Compliance Group (ACA)
Ashland Partners
Bingham McCutchen LLP
Compliance11
K&L Gates LLP
Renaissance Regulatory Services, Inc. (RRS)

Except where noted, all NSCP workshops are closed to the Regulators and members of the press.

General Session (8:30 am - 10:00 am)

Dialogue With Area Regulators
Open to Regulators and members of the press

Ben A. Indek, Morgan, Lewis & Bockius LLP

Have a question for the Regulatory panel? Email us!

WORKSHOP SESSION I (10:15 am - 11:30 am)

(a) BD – DETECTING AND PREVENTING FRAUD

James B. Adelman. Commonwealth Financial Network
Al Vermitsky, CSCP, Hennion & Walsh Inc.

(b) IA – DETECTING AND PREVENTING FRAUD

Janette L. Filbert, Prudential Investment Management
Christopher P. Harvey, Dechert LLP

(c) GI - PRIMER ON COMPLEX FINANCIAL INSTRUMENTS

J. Christopher Jackson, Deutsche Asset Management
Richard  D. Marshall, Ropes & Gray LLP

LUNCH (11:30 am - 12:45 pm)

WORKSHOP SESSION II (12:45 am - 2:00 pm)

(a) BD – ADDRESSING NEW ISSUES IN FINRA, SEC AND STATE EXAMINATIONS AND ENFORCEMENT PROCEEDINGS

David M. DeMuro, O'Melveny & Myers LLP
Peter von Maur, RBC Capital Markets Corporation

(b) IA – ADDRESSING NEW ISSUES IN SEC AND STATE EXAMINATIONS AND ENFORCEMENT PROCEEDINGS

Mary Ann Iudice, BNY Mellon Asset Management
Judy B. Werner, Gardner Lewis Asset Management, LP

(c) HF – COMPLIANCE AND RISK MANAGEMENT

Daniel P. Barry, FMR LLC Legal Department
Michael S. Caccese, K&L Gates LLP

WORKSHOP SESSION III (2:15 pm - 3:30 pm)

(a) BD —  CONDUCTING INTERNAL COMPLIANCE REVIEWS

Richard M. Nummi, Accounting & Compliance International (ACI)
David M. Sobel, Abel/Noser Corp.

(b) IA — CONDUCTING INTERNALCOMPLIANCE REVIEWS

Holly Ann Butson, DundeeWealth US, LP
Linda J. Hoard, PNC Global Investment Servicing
James F. McGuire, FMR Co. Investment Compliance

(c) HF – MANAGING CONFLICTS OF INTEREST

Aaron D. De Angelis, Spring Mountain Capital, LP
Keith Marks, Ascendant Compliance Management

WORKSHOP SESSION IV (3:45 pm - 5:00 pm)

(a) BD - MONITORING SUPERVISORY CONTROLS – Hear direct from a Branch Manager

Michele A. Coffey, Morgan, Lewis & Bockius LLP
Miriam Lefkowitz, Shufro, Rose & Co., LLC

(b) IA - COMPLIANCE AND RISK MANAGEMENT – Hear direct from Risk Management

John Hunt, Goodwin Procter LLP
Joseph M. McGill, UBS Global Asset Management (Americas) Inc.

(c) GI – INFORMATION SECURITY POLICIES AND PROCEDURES INCLUDING ELECTRONIC COMMUNICATIONS  - Hear direct from IT

Jason Gordon, Prudential Investment Management

*Invited and pursuing authorization
**GI - General Interest; both IA and BD sides of the issue will be covered