Conference Date Location Topic / Panel
IAA Compliance Workshop Nov 2017 Atlanta, GA TBD
AUG the Exchange Roundtable Oct 2017 Louisville, KY TBD
AUG the Exchange Roundtable Oct 2017 Chicago, IL TBD
AUG the Exchange Regional Meeting Oct 2017 Chicago, IL TBD
Salentica July 2017 Webcast Exam Priorities and Recent Exam Experiences
AUG the Exchange Regional Meeting June 2017 Charlotte, NC Recent Exam Experiences
AUG the Exchange Regional Meeting June 2017 Atlanta, GA Recent Exam Experiences
Compass hosted conference call June 2017 Conf Call Andrew Sachs, Partner with Kilpatrick Townsend & Stockton law firm presented on DOL Fiduciary rule
AUG the Exchange National Meeting April 2017 Nashville, TN SEC Exam Protocol
Compliance Group April 2017 Phoenix, AZ Custody, Recent Exam Experiences, Exam Priorities
AUG the Exchange Roundtable Feb 2017 Boston, MA Custody, Exam Priorities, Top Deficiences, ADV I Amendments
AUG the Exchange Regional Meeting Feb 2017 Boston, MA Recent Exam Experiences
Compass hosted conference call Dec 2016 Conf Call Andrew Sachs, Partner with Kilpatrick Townsend & Stockton law firm presented on DOL Fiduciary rule
Investment Advisor
Association (IAA)
Apr 2016 Webcast Tips for Managing
Compliance Testing and
the Annual Review
Advent User Group
(AUG) National Meeting
Sep 2015 Chicago, IL SEC Exams
Advent User Group
(AUG) Regional Meeting
Aug 2015 Greensboro, NC SEC Exams
Advent User Group
(AUG) Regional Meeting
Oct 2014 Chicago, IL Custody
Advent User Group
(AUG) Regional Meeting
May 2014 Boston, MA Custody
Ashland Partners & Co Feb 2014 Webcast SEC Exams
Advent User Group
(AUG) Regional Meeting
Nov 2013 Boston, MA SEC Exams
Ashland Partners & Co Nov 2013 Webcast Identity Theft Prevention
Compass Compliance Services/Professional Compliance Assistance Webcast Oct 2013 Webcast Identity Theft Prevention
IA Watch Compliance 101 Conference Oct 2013 Washington,
DC
Recordkeeping & Document Retention
Responsibilities
Ashland Client Conference June 2013 Jacksonville,
OR
SEC Exams
Advent User Group
(AUG) Regional Meeting
May 2013 Chicago, IL SEC Exams
IA Week Webcast May 2013 Webcast SEC Exams
IA Week Spring
Conference
Mar 11-12,
2013
Washington,
DC
SEC Exams
Advent User Group (AUG) Regional Meeting Feb 2013 Atlanta,
GA
SEC Exams
IA Week Webcast Oct 2012 Webcast SEC Exams
Phoenix Compliance
Roundtable
Sep 2012 Phoenix, AZ SEC Exams
IA Week Webcast June 2012 Webcast Advertising, Marketing & Social Media
Advent User Group
(AUG) Regional Meeting
May 2012 Boston, MA SEC examinations; Pay to Play; Social Media; Whistleblower procedures
Phoenix Compliance Roundtable April 2012 Phoenix, AZ Performance Advertising
Advent User Group (AUG) Regional Meeting March 2012 Boca Raton, FL Compliance Environment/Using Advent products to assist with compliance monitoring
Advent User Group (AUG) Regional Meeting Dec 2011 NY, NY Pay-to-Play, Social Media, SEC Exams
Smarsh Inc Dec 2011 Portland, OR Social Media
Advent User Group (AUG) Regional Meeting Sep 2011 Cincinnati, OH Pay-to-Play, Social Media, SEC Exams
Advent Software, Inc. Conference Sep 2011 Boston, MA Social Media: What You Need to Know.
Advent User Group (AUG) Regional Meeting August 2011 Charlotte, NC Hot Topic Discussions: Pay-to-play, Advertising, Social Media, Recent Exam topics
Advent Software, Inc. June 2011 Webcast Social Media: To Be or Not to Be?
IA Week March 2011 Webcast Best practices for hammering out annual reviews
IA Week March 2011 Washington, DC Advertising & Marketing/GIPS and Social Media
Advent User Group
(AUG) Regional Meeting
Feb 2011 Atlanta, GA Social Media: To Be or Not to Be?
Advent User Group
(AUG) Regional Meeting
Nov 2010 Atlanta, GA ADV 2 Amendments
Advent User Group
(AUG) Regional Meeting
Oct 2010 Chicago, IL ADV 2 Amendments
IA Week August 2010 Webcast Practical Guidance for Investment Advisers –
Implementation of Compliance Procedures
Advent User Group
Compliance/Executive
Management Seminar
May 2010

March 2010
Chicago, IL

Boston, MA
Compliance 101
Advent User Group Feb 2010 Webcast Overview of Current Regulatory Issues
Advent User Group
(AUG) Regional Meeting
Nov 2009 Atlanta, GA Using Advent Software in a Compliance Annual Review
Advent User Group
(AUG) Regional Meeting
Oct 2009 Chicago, IL Using Advent Software in a Compliance Annual Review
Investment Adviser Association April 2009 Webcast Compliance Programs for Smaller Advisers
IA Week/IAA Compliance Summit March 2009 Washington, DC Compliance Program Testing (Small Size Firms)
IA Week Feb 2009 Webcast Effective and Workable Forensic Testing
IA Week Sep 2008 Philadelphia, PA Code of Ethics and the SEC's Focus on Insider Trading
Advent Software, Inc. Sep 2008 Las Vegas, NV Utilizing Advent Products for SEC Compliance
IA Week Webcast June 2008 Webcast How to Conduct Efficient & Compliant Annual Reviews
ACA Webcast June 2008 Webcast Best Practices for GIPS Policies and Procedures
IA Week/IAA Compliance Summit March 2008 Washington, DC CCO Best Practices: Firm's AUM $1-10 billion
ACA Spring Compliance Conference March 2008 Scottsdale,
AZ
Performance Advertising and GIPS Compliance

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