Articles & Speeches

Ms. Schnase is a frequent author and speaker on legal matters affecting the investment management industry, appearing at conferences, seminars, workshops, webinars and in publications of industry-wide circulation. Following are some of her recent articles and speeches, with links to papers or articles available as an educational resource:

• “New Form ADV Part 2: 10 Tips for Coping with the 2010 Amendments,” speaker/presenter at Investment Adviser Association (IAA) Regional Compliance Workshop (10/10).    

• Form ADV Part 2 tables comparing old requirements with new requirements, Practical Compliance & Risk Management for the Securities Industry, Vol. 3, No. 5 (Sept-Oct 2010).    

• “An Investment Adviser’s Fiduciary Duty,” CLEonline.com presentation and paper (8/10).    

• “The Evolving Role of the CCO and What It Means,” co-author of article in NSCP Currents (May/June 2010 issue).    

• “Special Considerations for Directors of Small Funds,” speaker/presenter at Mutual Fund Directors Forum webinar (6/10).    

• "Focus On: Adviser Compliance Testing,” Practical Compliance & Risk Management for the Securities Industry, Vol. 3, No. 2 (March-April 2010).    

• “Risk Management, with Sample Risk Assessment Matrix,” Investment
  Adviser Association/ACA Insight 2010 Investment Adviser Compliance Forum (2/10).      

• “Staying Ahead of the Curve: The Changing Role of the CCO,” NRS 24th Annual Fall Compliance Conference (11/09).    

• "Amendments to Custody Rule” and “Risk Management, including Compliance Reviews and Testing,” speaker/presenter at Investment Adviser Association (IAA) Regional Compliance Workshop (11/09; updated 7/10).     

• “Can an Adviser be Liable for the Wrongdoing of Another Adviser?” Compliance Corner article in the Investment Adviser Association (IAA) newsletter (4/09).    

• “An Investment Adviser’s Duty to Supervise its Sub-Advisers: In the Wake of Madoff,” CLEonline.com presentation and paper (3/09).   

• “Business Continuity Planning for Investment Advisers” and “Disclosure and Form ADV Proposal,” speaker/presenter at Investment Adviser Association (IAA) Regional Compliance Workshop (11/08; updated 8/10).    

• “Regulatory Aspects of the Form ADV Part 2 Proposal,” IA Week/IA Watch Fall Compliance Conference (9/08).    

• “CCO Relationships with Fund Boards,” Mutual Fund CCO seminar, U.S. Bancorp Fund Services roundtable panelist (9/08).

• “SEC Exams,” IA Watch/IA Week webinar, speaker/presenter (8/08).

• "Annual Compliance Program Reviews” and “Advertising,” Investment Adviser Association (IAA) Regional Compliance Workshop (10/07).

• “Adviser Advertising: Avoiding the Pitfalls,” IA Week Fall Compliance Conference, speaker/panelist presenting "Bad Ad Case Study" (10/07; updated 8/10).    

• “Compliance Program Rules,” NRS Center for Compliance Professionals, webinar instructor/panelist for the Certified Compliance Professional course of study (7/07).   

• “Adviser and Fund Compliance Programs, Building a Sound and Effective Program,” CLEonline.com presentation and paper (6/07; updated 7/10).    

• “Investment Adviser Compliance Training,” NSCP Currents (May/June 2007 issue).     

• “Soft Dollars: Legal Issues and Best Practices for Investment Advisers,” CLEonline.com presentation and paper (4/07).    

• “Best Execution: Questions and Answers,” Compliance Corner article in the Investment Adviser Association (IAA) newsletter (2/07).    

• “SMAs and Sub-Adviser Issues” and “Annual Compliance Reviews,” Investment Adviser Association (IAA) Compliance Workshop, speaker/panelist (10/06).    

• “The Basics: Reviewing an Adviser’s Compliance Program,” Investment Adviser Association/IA Week Compliance Best Practices Summit, speaker/panelist (2/06).

• “An Investment Adviser’s Duty to Supervise its Sub-Advisers,” CLEonline.com presentation and paper (11/05).    

• “The Annual Compliance Review,” IA Week audio conference presentation (11/05).

• “Strategies for Risk Assessment, Monitoring and Testing, Annual Compliance Review and Compliance Calendaring,” and “Adviser Advertising: Bad Ad Case Study,” Investment Adviser Association Compliance Workshop, speaker/panelist (11/05).

• Mutual Fund CCO seminar, U.S. Bancorp Fund Services roundtable panelist (10/05).

• “Best Execution: Considerations for Investment Advisers and Funds,” CLEonline.com presentation and paper (6/05; updated 7/10).    

• “Annual Reviews of Investment Adviser Compliance Programs,” presentation at Investment Adviser Association (IAA) Regional Compliance Workshop (5/05).

• “Running the Traps: Federal vs. State Registration of Investment Advisers and IA Representatives,” CLEonline.com presentation and paper (1/05; updated 8/10).    

• “Compliance Mistakes for Advisers and Funds to Avoid,” CLEonline.com presentation and paper (1/05).    

• “Consulting in a Compliance Rich Environment,” speech at Investment Management Consultants Association (IMCA) conference (12/04).

• “Board Self-Assessment: Legal and Practical Considerations,” CLEonline.com presentation and paper (8/04).    

• “The New and Improved Compliance Environment,” ICAA newsletter and website publication (4/04).

• “Investment Adviser and Mutual Fund Websites: A Checklist of Legal Issues,” CLEonline.com presentation and checklist (8/03).    

• “Supervision of Sub-Advisers,” The Investment Lawyer (12/03 and 1/04).

• “Guidelines for Fund Websites,” The Investment Lawyer (10/02).