NYC CCO Compliance Roundtable
When: May 16th 2013 Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room Thomas Westle and Janaya Moscony, along with
Phila Compliance Outreach Seminar
When: October 7th 2013 Where: Drinker Biddle & Reath LLP | One Logan Square, Ste. 2000, Philadelphia, PA 19103 Mark Dowdell Assistant Regional Director in the
NYC CCO Compliance Roundtable
When: October 10th 2013 Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room Thomas Westle, Partner, Blank Rome LLP, and
National Society of Compliance Professionals East Coast Meeting
When: June 3rd & 4th, 2013 Where: Grand Hyatt – 109 East 42nd St. New York, New York Linda Smith will participate in a panel
Mutual Funds – New SEC Sweep Exams and More
We have heard so much about the SEC’s focus on private fund managers, but now attention is turning to include registered funds as well. OCIE
Update: Marc Gabelli and Bruce Alpert vs SEC
On February 27, 2013, Chief Justice Roberts delivered the opinion of a unanimous U.S. Supreme Court in Gabelli, et al vs. U.S. Securities and Exchange
SEC Announces 2013 Examination Priorities
On February 21, 2013, the SEC announced its 2013 exam priorities. The SEC outlined its market-wide priorities followed by priorities in four distinct examination programs:
Filing Dates for Form CPO-PQR and Guidelines for Calculating Assets under Management
Many Commodity Pool Operators (CPOs) are currently in the process of preparing to file the new Form CPO-PQR, which is required by the Commodity Futures
Reminder: CFTC Annual Affirmation of Exemptions
All commodity pool operators (“CPOs”) and commodity trading advisers (“CTAs”) that claimed an exemption last year must re-affirm their exemptions within 60 days from calendar
Mutual Fund Securities Lending Programs – Who earns the Revenue?
Bloomberg News and Reuters reported on Sunday, February 3 about a lawsuit filed by two U.S. pension funds on January 18, 2013 against an ETF
SunGard Compliance Summit 2013
When: March 12-14th, 2013 Where: Hyatt Regency Coconut Point, Bonita Springs, Florida Janaya Moscony, President & CEO of SEC3, will be presenting on Compliance.
GAIM Ops Cayman Islands 2013
When: April 21-24th, 2013 Where: Ritz Carlton – Grand Cayman Linda Smith; Managing Director of SEC Compliance Consultants, will moderate a panel addressing NFA/CFTC Latest Developments
