October 29-31, 2003
Crystal Gateway Marriott Hotel, Arlington, VA
Steven Boehm presented "529 Plans" with co-presenter Krien VerBerkmoes, III, of VALIC Financial Advisors, Inc. They covered the basics of the qualified tuition program product, an overview of MSRB and SIPC regulation, tax and estate planning considerations, and ongoing compliance issues.
Susan Krawczyk presented "Performance Advertising" along with Nancy M. Morris of T. Rowe Price. The session touched on software services, the benchmark game and source documentation.
Holly Smith presented "In House Audits" with co-presenters Jerry C. Danielson of Lincoln National Life Insurance Company and Wesley L. Ringo of Northern Trust Global Investment Company. Topics discussed were identifying high-risk areas, responding to problems: policies on remedial action, documenting conclusions: privilege and follow-up, and whether fixing a problem includes self-reporting.
NSCP (National Society of Compliance Professionals) is a non-profit membership organization dedicated to serving and supporting compliance officials in the securities industry.
© 2013 Sutherland Asbill & Brennan LLP