Hedge Fund Compliance & Risk: A Self-Help Guide
Event Sponsors
Media Sponsors
December 2, 2009
Bayards, One Hanover Square, New York, NY
CPE Credits: 7.0
It is inevitable that Hedge Funds face substantial regulatory reform in the coming months, so firms need to start preparing now. No matter what direction the Obama Administration takes, it is evident that hedge funds will need to register with the SEC, employ a CCO, implement policies and procedures and undergo annual reviews. In addition, hedge funds proactively complying with impending regulations are attractive to new investors.
This seminar has been created to help CCOs, compliance professionals, General Counsel, and senior executives of hedge funds create and implement a thorough and cost effective compliance and risk management program.
Additionally, we are offering a 2 for 1 deal on registrations for hedge funds and RIAs. See below for pricing details.
Join your peers from
Abdiel Capital | Admiral Capital Management, LLC |
| Airlie Opportunity Capital Management LP | Arcoda Capital Management LP |
| Brencourt Advisors, LLC | Cameron Capital Management, LLC |
| Casimir Capital LP | Concept Capital |
| Conrad Capital Management, Inc. | Daiwa Asset Management |
| Dialectic Capital Management, LLC | Downtown Associates |
| Echo Bridge Capital | ED Capital, LLC |
| EM Capital Management | FH International Asset Management, LLC |
| Glen Eagle Advisors | GSC Group |
| Halcyon Asset Management LLC | Ivy Asset Management |
| J. Goldman & Co., L.P. | Kenmar Global Investment MgmtLLC |
| Levitt Capital Management Company, LLC | Libra Advisors |
| Midsummer Capital | Milbank Capital Management, LLC |
| NIBC Credit Management, Inc. | Pine Grove Associates |
| Platinum Management (NY) LLC | Printz Capital Management |
| Regulatory Compliance LLC | Roaring Brook Capital, LP |
| Sands Brothers Asset Management, LLC | Seix Investment Advisors LLC |
| Sunnymeath Asset Management, Inc. | Traxis Partners |
| UBS PB | Valquest Capital Management |
| Venus Capital Management, Inc. | Weiss Capital LLC |
| York Capital Management |
9:00 | Chairperson's Opening Remarks Richard Nummi, Executive Consultant, ACI View Article |
| 9:15 | The New Rules and Impact Speaker: James Capezzuto, SEC |
| 9:45 | SEC Registration Speaker: Jeffrey Cobb, Founder and Principal, Cobb & Associates PC View Presentation |
| 10:15 | Anatomy of an SEC Audit Speaker: James Capezzuto, SEC |
| 10:45 | Refreshment Break with Exhibitors |
| 11:00 | Compliance Program: How to Build, Implement, Assess and Document Moderator: Richard Nummi, Executive Consultant, ACI Panelists: Veronica Stork, CCO Trilogy Global Advisors Lawrence Block, Senior Vice President & General Counsel, Kenmar Rinarisa Coronel De Fronze, Executive Vice President, HedgeOp Compliance |
| 11:45 | Creating a Code of Ethics, Policies & Procedures, Disclosures Moderator: Scott Hacker, Compliance Consultant with Kelly Law Registry, Hartford, CT, Presently at ING Investment Management NYC Panelists: Chris Marzullo, Senior Counsel & Chief Compliance Officer Brandywine Global Investment Management Larry Goldfarb, Co-Founder, Compliance11 Samantha Rick, CCO, Credit Agricole Structured Asset Management Mark Polemeni, CCO, Alexandra Investment Management |
| 12:30 | Lunch Break with Exhibitors |
| 1:30 | Special Compliance Issues Speaker: Jeffrey Cobb, Founder and Principal, Cobb & Associates PC View Presentation |
| 2:00 | Risk Programs: Managing, Measuring and Mitigating Risk Moderator: Janaya Moscony, CFA, View Guide to SEC Registration SEC Compliance Consultants, Inc. Panelists: Rick Sharma, Chief Compliance Officer & MD Plural Investments Elliott Noma, Risk Consultant to Asset Alliance, Garrett Asset Management View White Paper Nolan Gesher, Senior Product Manager, Fiserv View Article |
| 3:00 | Refreshment Break with Exhibitors |
| 3:15 | Back-Office Operations: Outsource or Do it Yourself Moderator: Denise Valentine, Senior Analyst, Aite Group Panelists: Greg Sonis, CFO/COO Eidesis Capital Paul Sebetic, CFO, Ivy Asset Management Thomas Elwood, Vice President & General Counsel, Greylock Capital Management |
| 4:00 | Roundtable: Ask the Panel of Experts Participants: Rick Sharma, Chief Compliance Officer & MD Plural Investments Chris Marzullo, Senior Counsel & Chief Compliance Officer, Brandywine Global Investment Management Lawrence Block, Senior Vice President & General Counsel, Kenmar Paul Sebetic, CFO, Ivy Asset Management |
| 4:45 | Conference Adjourns/Networking Reception |
We are offering a 2 for 1 deal on registrations for hedge funds and RIAs. If you only have one person attending, pricing remains the same.
