Regulatory Compliance Association Reviews

Regulatory Practice: Addressing Emerging Areas of Heightened Scrutiny

Practice Edge 02

Regulatory Practice: Addressing Emerging Areas of Heightened Scrutiny™

Date: July 10, 2014
General Session: 12 Noon to 1:30 PM
Location: Webcast (Free)

Interested in CLE or CPE (A & A hours), attend via the RCA’s Online University (On Demand) – free for Practice Edge Elite Members

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This PracticeEdge session will discuss select areas of recent regulatory scrutiny by the SEC, with a focus on matters impacting investment fund managers. Topics to be discussed include: broker-dealer registration issues; liquid alternative products; fiduciary responsibilities and conflicts of interest; and cyber security. Session participants include David Blass, Chief Counsel of the SEC’s division of Trading and Markets, as well as the general counsel and chief compliance officers of a number of blue chip investment managers and a senior partner from a prominent investment management law firm.

Session Chairman:
Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:
Matt Eisenberg, JD, Partner, Finn Dixon & Herling

Guest Lecturers:

David Blass, JD, Chief Counsel, SEC Division of Trading & Markets
Brendan Kalb, JD, General Counsel, AQR Capital Management
Scott Pomfret, JD, Regulatory Counsel | Chief Compliance Office, Highfields Capital Management
Forest Wolfe, JD, Chief Compliance Officer | General Counsel, Angelo, Gordon & Co.