*Webinar* SEC Modernization: The Quest for Data Raises a Question of Oversight

13 March 2018 - 13 March 2018
13 March 2018
Corinna Fulton
+1 412.697.4310

With the Form N-PORT and Form N-CEN compliance date looming large over the next few months, the fund industry and its technology providers have been working hard to ensure readiness to meet the June 30, 2018 compliance date. But now, it’s imperative to focus on oversight. 

Under Sarbanes-Oxley (SOX), top management must individually certify the accuracy of a fund’s financial information in their N-CSR and N-Q filings. Form N-PORT lacks similar certification requirements, so there are a variety of options that exist for how each firm will oversee the Form N-PORT reporting process and the ultimate sharing of fund information with the regulator and the public. 

Join Confluence and our panel of industry experts as we explore:

  • Who should own and be accountable for data and filing accuracy given that certifying officers are not required?
  • Should the Disclosure Control and Procedures (DCP) Committee have oversight of Form N-PORT and Form N-CEN?
  • Will fund compliance personnel require some type of assurances to the accuracy of the data prior to filing and who will provide that?
  • Will firms seek to have any part of the Form N-PORT process covered by SOC1 or SSAE16?
  • How do these decisions impact the ongoing work necessary to file Form N-PORT each month?

Our expert speaking panel will include:

Matthew J. Giordano, Deputy Lead Partner- Public Investment Management | Department of Professional Practice, KPMG
Dustin Rose, Assistant Vice President, Fund Treasury, OppenheimerFunds
Gladys Chow, Manager, Fund Regulatory Reporting, The Vanguard Group
Gary Casagrande, Vice President Global Market Strategy, Confluence

Who Should Attend:

This webinar is designed for executives, directors and managers of advisor and operations groups at self-administered asset managers, and third-party service providers and their clients.

Attendees Include: Heads of Regulatory Reporting and Financial Reporting, Regulatory Compliance, Risk, Fund Operations, Fund Administration and Product