Electronic Communications and Records Forum
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Thursday September 27, 2007 |
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8:00 a.m. – 8:55 a.m. |
Registration and
Continental Breakfast |
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8:55 a.m. – 9:00 a.m. |
Welcome and
Opening Remarks |
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9:00 a.m. – 10:15 a.m. |
Regulation of
E-mail and Electronic Records |
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Moderator: Nikki E. Procopio Director and Senior Regional Compliance Advisor Panelists: Christopher Gilkerson SVP and Deputy General Counsel Scott C. Kursman Senior Vice President and Chief Counsel for Global Compliance Bruce W. Maisel Vice President, Distribution Law Thrivent Investment Management, Inc. Randall Roy Division of Market Regulation Securities and Exchange Commission Topics Include: · Current rules and interpretations related to e-mail and electronic records under the ’34 Act · SIFMA proposed amendments to Rule 17a-4(b)(4) · "Business as such" interpretations · Complying with the WORM standard and proposals to amend Rule 17a-4(f) · Tensions between broker-dealer and investment adviser regimes |
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10:15 a.m. – 10:45 a.m. |
Networking Break Hosted by Globanet Consulting |
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10:45 a.m. – 12:00 p.m. |
Practicalities
and Pitfalls: Supervision,
Destruction, and Enforcement |
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Moderator: Ben A. Indek Partner Panelists: Carol Burnet Director, Equity Division Nomura Securities International, Inc. Elaine H. Mandelbaum Managing Director and Deputy General Counsel Grace B. Vogel Executive Vice President, Member Regulation Financial Industry Regulatory Authority (FINRA) Topics Include: · Supervising electronic records under recent SRO guidance (NASD Notice to Members 07-30 and NYSE Information Memo 07-54) · Translating regulations and interpretations into workable document retention policies · Supervising new technology, including blogs, portable devices, etc. · Defensible document destruction policies · Effective responses to requests for electronic documents · Coordinating and negotiating requests for records from multiple regulators |
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12:00 p.m. |
Forum Concludes |
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SIFMA would like to thank the following additional
sponsors for supporting the Electronic Communications and Records Forum:
Wall Street Journals provided by Dow Jones
Tote Bags provided by The
Davidsohn Group
SIFMA has been certified by the New York State
Continuing Legal Education Board as an Accredited Provider of continuing legal
education in the state of New York. Parts of this program have been approved
for CLE credits.
Fee reduction may be available for qualified registrants.