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National Society of Compliance Professionals, Inc. East Coast Regional Membership Meeting New York, NY June 7, 2010 Dialogue With Area Regulators Ben A. Indek Moderator Morgan Lewis & Bockius LLP Norm Champ Securities and Exchange

  1. National Society of Compliance Professionals, Inc. East Coast Regional Membership Meeting New York, NY June 7, 2010 Dialogue With Area Regulators Ben A. Indek Moderator Morgan Lewis & Bockius LLP Norm Champ Securities and Exchange Commission Michael Rufino FINRA

  2. Agenda • Examinations: The Post-Madoff Era • Current Examination Priorities • Examination Findings • Referrals to Enforcement • Social Networking • Use of Fund Money to Pay Expenses • FINRA Proposal re Registration of Back-Office Personnel • Audience Questions • Compliance Officers: Expectations and Liabilities 2

  3. Examinations: The Post-Madoff Era 3

  4. Current Examination Priorities 4

  5. Examination Findings 5

  6. Referrals to Enforcement 6

  7. Social Networking 7

  8. Use of Fund Money to Pay Expenses 8

  9. FINRA Proposal re Registration of Back-Office Personnel 9

  10. Audience Questions 10

  11. Compliance Officers: Expectations and Liabilities 11

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