NYC CCO Compliance Roundtable
When: April 29th 2014 Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room Thomas Westle, Partner, Blank Rome LLP, Janaya
GAIM Ops Cayman 2014
When: April 6-9th, 2014 Where: Ritz Carlton, Grand Cayman What: AIFMD: marketing to European investors of non-EU funds by non-EU managers. Linda Smith, Managing Director,
NSCP Dallas Regional Meeting
When: April 10, 2014 (8am-5pm) Where: Haynes and Boone, LLP 2323 Victory Avenue, Ste. 700 Dallas, TX 75219 What: Catch up on the latest regulatory
GAIM Ops Cayman 2015
When: April 26-29th, 2015 Where: Ritz Carlton, Seven Mile Beach | Grand Cayman, Cayman Islands What: GAIM Ops Cayman Linda Smith, Managing Director, SEC Compliance
If You Have Never Been Examined by the SEC, Get Ready
The Securities and Exchange Commission announced on Thursday, February 20th that its Office of Compliance Inspections and Examinations (OCIE) is launching an initiative directed at
GAIM Regulation 2014
When: February 4th, 2014 Where: The Offices of Ropes & Gray 1211 Avenue of the Americas New York, NY 10036 Join the SEC and SEC
SEC National Exam Program 2014 Exam Priorities
The Securities and Exchange Commission’s National Examination Program (“NEP”) has released 2014 examination priorities which can be found here. Much of what has been announced
The Volcker Rule adopted after a 3-year wait
The Volcker rule was adopted on Tuesday, December 10, 2013 by five regulatory agencies including the Securities and Exchange Commission (the “SEC”). The original proposal was
The Importance of Effective Compliance Programs in Preventing Enforcement Actions
Stephen L. Cohen, the Securities and Exchange Commission’s (“SEC”) Associate Director of Enforcement, spoke recently at the Society of Corporate Compliance and Ethics’ Annual Conference.
Compliance Policies & Procedures Webinar
When: Pre-recorded webinar – Nov 19th, 2013 Where: On-site Compliance Policies & Procedures: Samples and Tips to Establish and Maintain a Manageable Process It’s one
Hot Topics in National Futures Association Audits
As a result of the rescission of Rule 4.13(a)(4) for commodity pool operators (CPOs) advising funds offered to qualified eligible persons and the narrowing of
Why We Don’t See the SEC’s New Rules Implementing the Jobs Act Altering the Way Hedge Funds Market in the Short Run
On September 23, 2013, SEC regulations adopted on July 10, 2013 to implement Section 201(a) of the JOBS Act will be effective. We are not