The SEC will host once again a Compliance Outreach Program on Tuesday, 1/31 - tomorrow's program for advisers (RIAs) and mutual funds (RICs).  Speakers, panelists and the agenda are presented below:    [For further details, go to:   Compliance Outreach, 1/31/12.] Opening Remarks. Speakers are:

• Carlo di Florio, Director of the SEC's OCIE these past 2 years.
• Eileen Rominger, Director of the SEC's Division of Investment Management, since February 2011.

Panel 1: Compliance and Enterprise Risk Management. Panelists are:

• Andrew Bowden, who heads OCIE's investment adviser and investment company examination program.
• Kevin Goodman, Associate Regional Director of the SEC's Denver Regional Office ("RO"), where he manages the Regulation program.
• Philip Kirstein, Independent Compliance Officer, Senior Officer of the AllianceBernstein U.S. RICs.
• Joseph Carrier, Chief Risk Officer for Legg Mason, Inc.

Panel 2: Trading Practices. Panelists are:

• Erozan Kurtas, New York RO, Senior Specialized Examiner focusing on Quantitative Algorithms, Computerized Trading, Risk Management in hedge funds, and Structured Products.
• David Grim, Assistant Chief Counsel in Investment Management Division.
• Chuck Senatore, head of corporate compliance for Fidelity Investments.
• Jennifer Duggins, VP and CCO of Chilton Investment Company, an investment adviser with over $6 billion in AUM.

Panel 3: Dodd-Frank Wall Street Reform and Consumer Protection Act. Panelists are:

• Norm Champ, Deputy Director of the SEC's OCIE.
• Robert Plaze, Deputy Director of the SEC's Division of Investment Management.
• Thomas Kennedy, member of Arden Asset Management and he has served as CCO with responsibility for all of Arden's compliance programs globally.
• Eric Komitee, General Counsel of Viking Global Investors LP and a member of its Management Committee.

Panel 4: Enforcement-Related Matters. Panelists are:

• Rosalind Tyson, Regional Director of the SEC's L.A. Reg'l Office.
• Bruce Karpati, Co-Chief of the Asset Management Unit of the SEC's Division of Enforcement.
• Robert Kaplan, Co-Chief of the Asset Management Unit of the SEC's Division of Enforcement.

Panel 5: Safety and Soundness of Client Assets/Custody. Panelists are:

• Donna Esau, staff member of the SEC;  Assistant Regional Director in exam program.
• Daniel Kahl, Assistant Director for the Office of Investment Adviser Regulation in the SEC's Division of Investment Management.
• Nancy Morris, EVP, Chief U.S. Regulatory Counsel of Allianz Global Investors.
• Lee Augsburger, SVP and chief ethics and compliance officer in the Law, Compliance and Business Ethics unit of Prudential Financial, Inc.