| FLC Speaker | Conference | Session | Date & Time | Location |
| Amy Lynch | 2008 IA Watch Fall Compliance Conference | "Performance Advertising, Marketing and Distribution" | September 22
2:15-3:15 pm | Park Hyatt
Philadelphia, PA |
| Amy Lynch | BD Week Audio Conference on NASD Rule 2821 | "How to Comply with NASD Rule 2821 on Deferred Variable Annuities" | July 22
1:30-3:00 pm | Audio Conference |
| Amy Lynch | SIFMA 4th Annual Independent Firms Conference | "Senior Investors Issues: Regulatory Focus and Business Impact" | May 21
1:45-3:00 pm | Wyndham Chicago
Chicago, IL
|
| Amy Lynch | Catlin Consortium on Compliance and Regulation | "Regulatory Compliance Today" | April 3
9:15-9:45 am | Chateau Elan
Braselton, GA
|
| Amy Lynch | Financial Research Associates
Compliance &
Operational Best Practices for Hard-
to-Value Securities & Portfolios | "What Every CCO Needs
to Know: The Roadmap to Building an Effective Compliance Program" | March 18
1:30-2:45 pm | The Harvard Club
New York, NY |
| Amy Lynch | ALI-ABA Investment Adviser Regulation | "Advertising and
Marketing; Referral Relationships" | January 25
9:30-10:30 am | Fordham University
School of Law
New York, NY |
| FLC Speaker | Conference | Session | Date & Time | Location |
| Amy Lynch | SIFMA Deferred Variable Annuity Rule Symposium | "Rule 2821: Impact on Compliance and Supervisory Procedures" | October 23
10:05-11:20 am | AXA Equitable
Conference Center
New York, NY
|
| Amy Lynch | The Knowledge Congress
NASD Rule 2821 Amendment No.4: Best Practices Explored (Teleconference with Web Presentation) | "NASD Rule 2821 Amendment No.4: Best Practices Explored"
 Listen | August 2
1:00-3:00 pm | Teleconference |
| Amy Lynch | Financial Research Associates
Mastering Compliance for Sub-Advised Funds | "Rule 206(4)-7 - Compliance Procedures and Practices" (1:30 pm) "Mastering Variable Annuity Compliance"(3:15 pm) | July 18
1:30-2:15 pm
and
3:15-3:45 pm | Hyatt Regency
Cambridge, MA |
| Amy Lynch | Financial Research Associates
9th Annual Hedge Fund Regulation & Compliance Forum | "The SEC's New Interpretive Guidance on the Use of Soft Dollars" (9:15 am) "Are You Compliant with Personal Trading Regulations?" (2:30 pm) | June 22
9:15-10:00 am
and
2:30-3:15 pm | The Princeton Club
New York, NY |
| Amy Lynch | Financial Research Associates
6th Annual Valuation of Hard-to-Value Securities and Portfolios Conference | "Best Practices in Pricing and Valuation Verification and Review for Complex and Illiquid Securities" "Part I: "Exploring the Role of Compliance, Pricing Committee and/or Internal Audit Staff in Verifying Proper Pricing" | June 11
10:00-10:45 am | The Flatotel Hotel
New York, NY |
| Amy Lynch | SIFMA
3rd Annual Independent Firms Leadership Conference | "Understanding Variable Annuity Regulation and Compliance" | April 24
1:45-3:00 pm | Hyatt Inner Harbor
Baltimore, MD |
| Amy Lynch | Financial Research Associates
2nd Annual Marketing & Advertising Compliance Forum for Investment Advisers | "Understanding the SEC and NASD General Advertising Requirements" | March 29
1:15-2:45 pm | The Princeton Club
New York, NY |
| Amy Lynch | Institutional Investor Events
2nd Annual Chief Compliance Officer Forum | "Outsourcing Compliance Functions: How and When it Makes Sense" | March 15
3:00-3:45 pm | The Westin Hotel
New York, NY |
