Speaker | Conference | Session | Date & Time | Location |
| 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" | 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 |
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