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PORTLAND, Maine – Bernstein Shur attorney Scot Draeger has been selected as a panelist for three panels at the Annual Meeting of the Investment Company Institute in Washington D.C. to occur on May 5-7.
The first panel – “Tackling Every Day Compliance Issues,” will include Mr. Draeger, Practice Leader – Securities & Financial Services Industry, Bernstein Shur, and will also include John Sanders, Chief Compliance Officer, RS Investment Management, Mark Manley, Chief Compliance Officer, SVP and Deputy General Counsel, AllianceBernstein, and Valerie M. Simpson, VP & Chief Compliance Officer, Prudential Investments. The Panel will make presentations and field questions from the investment management community on issues related to the following:
• Addressing the compliance issues around the use of social media tools.
• Conflict of interest identification and management, including insider trading procedures/training and surveillance post-Galleon.
• Credit and counterparty risk assessments post Lehman.
• Surviving the “new” SEC exam, including valuation issues, best execution, and soft dollar issues.
• Risk assessment in the outsourcing and contracting processes – Developing internal controls for compliance processes at fund service providers.
• Risk Assessment and Ongoing Oversight / Compliance Monitoring at Service Providers.
• Error escalation and correction (beyond just trading errors).
• Anti-money laundering and identity theft monitoring
The second panel – “Lighting Round – Rapid Fire Q&A” will provide the legal and business executives of the investment management industry the opportunity to pick the brains of a panel of top securities law and compliance experts. The Panel will include Mr. Draeger, and will also include Pauline Scalvino, Chief Compliance Officer, the Vanguard Group, Thomas Mistele, General Counsel and Chief Compliance Officer, Dodge and Cox, Mark Manley, Chief Compliance Officer, SVP and Deputy General Counsel, AllianceBernstein, James M. Davis, Director, Global Compliance, Franklin Templeton Investments, and John Sanders, Chief Compliance Officer, RS Investment Management.
In addition, on the final day of the Conference, Mr. Draeger, will be the Discussion Facilitator among the legal and compliance personnel for mid-sized investment companies in working together to round-table issues of common concern in the industry.
Scot Draeger is a Bernstein Shur shareholder and leads their Securities and Financial Services Industry Group. Scot is a former Senior Legal Counsel to the U.S. Securities and Exchange Commission in Washington, DC and former senior in-house counsel for Citigroup’s Corporate and Investment Bank. His practice focuses on representing securities industry and capital markets participants in the full spectrum of regulatory, compliance, enforcement, and transactional matters, with an emphasis on counseling the investment management industry and financial services companies.