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Hedge Fund Compliance & Regulation 2013

 January 29, 2013


CLE - Live Seminar
USA



Description


Nearly one-third of the investment advisers that registered with the Securities and Exchange Commission as a result of the Dodd-Frank Act manage private funds.  As a result, the SEC’s examination staff has developed new strategies and processes to address the risks presented by hedge funds and other private funds.  At this program, three distinguished panels of experts will discuss the regulatory and compliance challenges facing hedge fund managers from three perspectives:

  • Building an effective compliance program and strategies for working with regulators
  • Interacting with investors
  • Handling sales and trading issues

Panelists will not only provide updates on regulatory developments affecting hedge funds, but also provide practical suggestions for how in-house legal and compliance professionals can cope with the increased compliance burdens and regulatory focus.

  • Compliance challenges facing hedge funds in 2013, including SEC and CFTC examination priorities
  • Strategies for addressing and anticipating potentially problematic compliance and regulatory risks, including valuations
  • Tips for navigating ethical considerations, including managing conflicts of interest and providing disclosure to investors
  • Constructing and implementing an effective compliance program
  • Updates on key regulatory developments


Organized by


Practising Law Institute
810 Seventh Avenue
New York, New York
United States of America

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