UNAPEN CEO Addresses the Managed Accounts Industry in Boston, MA on September 22, 2005
Wallingford, CT: September 16, 2005—Joseph Walker, CEO of UNAPEN, Inc.—a Connecticut-based consulting and software firm focused on the Financial Services Industry—is a moderator at the 4th Annual Managed Accounts Summit on September 22, 2005 at The State Room in Boston, MA presented by Financial Research Associates, LLC. The panel discussion is entitled “Regulatory Roundtable: Key Compliance Issues Affecting the SMA Market”. See below for schedule and details.
2:15 PM, Thursday, September 22, 2005
Regulatory Roundtable: Key Compliance Issues Affecting the SMA Market
What are the SEC focus areas affecting the SMA industry?
What do they look for in an audit?
Best execution issues and the SMA issues
Suitability issues and “know your client”: Who is responsible?
What are the compliance issues that arise when outsourcing back office functions?
Joseph A. Walker, Managing Director & CEO
Michael S. Caccese, Partner
Kirkpatrick & Lockhart Nicholson Graham LP
Margaret Sheehan, Partner
Alston & Bird LLP
Vincent J. Lepore, Senior Advisor