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NAID Executive to Press on Proposed Sec Disposal Rule

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Executive Director Bob Johnson will be among several panelists in a national webinar on the implications of the upcoming Security and Exchange Commission’s (SEC) Disposal Rule on the investment industry. The webinar is titled What Reg S-P Means for Advisers: Insights into New Rules, Plus Compliance Guidance.

Other panelists include a SEC official who will explain the history and requirements of the law and the Chief Information Officer from a large investment firm who will discuss how the proposed rule will affect them. Johnson’s presentation will explain the how to enhance and monitor employee compliance, how to develop policies, and how to properly outsource destruction services.

The presentation will be in the form of a webinar, hosted by Investment Advisor Watch, which will be held Tuesday, Sept. 16, 2008 from 2:00-3:30 p.m. EST. The primary audience for the seminar is high-level executives who manage investment firms and other financial institutions under the jurisdiction of the SEC and the proposed disposal rule.

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