Regulatory Compliance Association Reviews

Upgrading Compliance Surveillance, Controls, Testing & Reviews

Practice Edge 02

Date: November 29, 2016
General Session: 12 Noon to 1:30 PM HKT
Location: Webcast (Free)

Interested in Continuing Compliance Education™, 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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Section 206 of the Investment Advisers Act of 1940 (the “Advisers Act”) requires every SEC-registered investment adviser to adopt and implement written policies and procedures reasonably designed to prevent violation, by the investment adviser and its supervised persons, of the Advisers Act and the rules that the SEC has adopted under the Advisers Act. While we tend to focus on keeping up with new regulations, risk alerts, priorities, and news stories and hot topics, it is equally important to understand how to respond to such events and developments and upgrade compliance policies and procedures in order to sustain a successful compliance program. This session attempts to translate compliance priorities into practical and actionable guidance that can help improve an investment adviser’s compliance processes. This session will serve as a forum for the panelists to share and discuss ideas and best practices for achieving this goal.

Students will master the following at the conclusion of this session:

  • Identifying general areas of concern for compliance processes
  • Methods to improve process for obtaining uniformity in disclosures
  • Steps to bolster controls related to the use of expert networks
  • Action plans to enhance insider trading prevention practices
  • Measures to take to foster a culture of compliance
  • Tactics to enhance risk assessment initiatives

Session Chairman:

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

Senior Fellows from Practice:

Matthew Eisenberg, JD, Partner, Finn Dixon & Herling
Catherine Smith, JD, General Counsel, Guidepoint Global

Guest Lecturers:

Daniel Driscoll, CPA, COO, National Futures Association
Ken Robinson, CFA, Director, Global Investment Performance Standards, CFA Institute
Martin Schwartz, CPA, JD, CCO, Millennium Partners
Michael Sheehy, JD, CCO, Core Commodity Management
Halit Coussin, JD, LLM, Chief Legal Officer / CCO, Pershing Square
Moshe Luchins, JD, Chief Compliance Officer and Deputy General Counsel, Zweig-DiMenna Associates
Michael Sheehy, JD, CCO, CoreCommodity Management
Barbara Keller, JD, Deputy CCO, Nomura
Karl Egbert, JD, Partner, Dechert

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