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Yvonne I. Pytlik Coping With The Increased Strain Of Regulatory Demands July 14, 2011 Dreman Value Management Practical Solutions Integrated Grc Frameworkl
1. Coping with the increasing strain of regulatory demands www.GlobalRMC.com 2011 Integrated Framework - Governance, Risk and Compliance Yvonne I. Pytlik Chief Compliance Officer Dreman Value Management, L.L.C. [email_address] ; Tel: 781-835-8360 Dodd Frank Act & Financial Regulatory Reform
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10. DREMAN VALUE MANAGEMENT, L.L.C. 2011 DVM Chief Compliance Officer Governance, Risk & Compliance Program Yvonne I. Pytlik, MBA, CPA Chief Compliance Officer for Investment Adviser - Dreman Value Management, L.L.C. Chief Compliance Officer for Dreman Contrarian Mutual Funds Email: ypytlik@dreman.com ; Tel: (201) 793-2046; Mobile: (781) 835-8360 Industry Experience and Best Practices: KPMG, Deutsche Bank, Global Compliance Risk Mgt Corp, DVM, RMA NYC Practical Solutions – Integrated Governance, Risk and Compliance
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12. Enterprise Risk Management & Compliance Committee GOVERNANCE, RISK & COMPLIANCE PROGRAM OVERSIGHT DVM Chairman Executive Committee GOVERNANCE, RISK, COMPLIANCE COMMITTEE Co-Chairman YVONNE I. PYTLIK & E. CLIFTON HOOVER Chief Compliance Officer & Chief Investment Officer COE Committee & Conflicts of Interest Best Execution & Brokerage and Fair Valuation Committee FORWARD LOOKING AND PRO-ACTIVE APPROACH TO COMPLIANCE Dreman Contrarian MFs Board of Trustees Client Mutual Funds & Institutional Clients Boards, CCOs
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15. DREMAN VALUE MANAGEMENT, L.L.C. 2011 Chief Compliance Officer Governance, Risk & Compliance Program Section II FORWARD LOOKING AND PRO-ACTIVE APPROACH TO COMPLIANCE Risk Assessment Methodology & High Risks and Mitigation Stragic Plan
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18. DREMAN VALUE MANAGEMENT, L.L.C. 2011 Chief Compliance Officer Governance, Risk & Compliance Program Section III FORWARD LOOKING AND PRO-ACTIVE APPROACH TO COMPLIANCE Compliance Department Roles and Responsibilites
19. 1 FORWARD LOOKING AND PRO-ACTIVE APPROACH TO COMPLIANCE Yvonne I. Pytlik is a senior executive and one of industry’s most highly regarded strategists in compliance risk management and corporate governance for financial institutions. Prior to joining Dreman, she was the Deputy Head of Global Compliance, Risk Management, and Strategic Planning at Deutsche Bank AG. Ms. Pytlik was responsible for global compliance risk management across all business lines, including capital markets, investment banking, asset management, and private wealth management. During her eight years at Deutsche Bank, she made significant contributions to the firm’s overall compliance organization, including the development and implementation of global compliance risk management functions in the Americas, Europe, and Asia-Pacific regions. Ms. Pytlik developed and implemented the Chief Compliance Officer Program Oversight initiatives for the asset management division. Prior to joining Deutsche Bank, Ms. Pytlik was a Lead Senior Consultant in the Advisory and Information Risk Management Practice at KPMG, LLP. She was managing and supervising strategic business/ information risk assessment and process reengineering engagements for KPMG clients. Her experience also includes over 10 years in Internal Audit at major financial institutions, with a focus on the asset management and investment management business. Ms. Pytlik has MBA from Suffolk University and BS in Management from University of Massachusetts. She is a Certified Public Accountant in MA and member of AICPA. She is also a member of numerous professional risk and compliance organizations. Ms. Pytlik currently serves on the Risk Governance Committee at the Risk Management Association in NYC, she is the Founder of the Global Compliance Risk Management Corp. where she currently serves on the Board of Directors. Her recent compliance expert opinions were published: ”New technologies to stop insider trading”, “Insider Trading – can it be stopped?” in the Wall Street & Technology and “Compliance Risk: a critical business risk for asset managers” in the Journal of Securities Laws, Regulations & Compliance by Henry Stewart Publications in UK. Yvonne I. Pytlik, CPA, MBA Chief Compliance Officer Yvonne I. Pytlik joined Dreman Value Management, L.L.C. in 2010 as the Chief Compliance Officer reporting to the Executive Committee and since June 2010 as the Chief Compliance Officer for Dreman Contrarian Mutual Funds reporting to the Board of Trustees.
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25. DREMAN VALUE MANAGEMENT, L.L.C. 2011 Chief Compliance Officer Governance, Risk & Compliance Program Section IV FORWARD LOOKING AND PRO-ACTIVE APPROACH TO COMPLIANCE 2011 Regulatory Trends & Industry Best Practices
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29. DREMAN VALUE MANAGEMENT, L.L.C. 2011 Chief Compliance Officer Governance, Risk & Compliance Program Section V FORWARD LOOKING AND PRO-ACTIVE APPROACH TO COMPLIANCE 2011 Regulatory and Industry Trends – Compliance Risk as a Critical Business Risk for Asset Managers
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31. Industry Expert Opinions and Publications – Additional References 1 FORWARD LOOKING AND PRO-ACTIVE APPROACH TO COMPLIANCE New Technologies To Stop Insider Trading – Yvonne I. Pytlik With the biggest insider trading trial in history currently under way, Wall Street firms are ramping up their technology to try to prevent market abuses before it's too late. "Firms recognize that insider trading and other serious compliance violations may significantly impact their business strategy or even pose a threat to their existence," says Yvonne Pytlik, chief compliance officer at Dreman Value Management, an asset management firm in Jersey City, N.J., for institutional clients that has $5 billion in assets under management.