logo
 
  • About Us
  • Events Calendar
  • Contact Us
  • White Papers
  • NRS Insights - Blog
  • Technology Solutions
  • Education Solutions
  • Consulting Services
  • Services by Industry
  • NRS 31st Fall Compliance Conference
    • Top Gun Success & Fighter Pilot Precision For Compliance Professionals
    • Professional Ethics: Ethical Decision-Making for Compliance Professionals
    • Proactive Solutions for Mitigating the Exploding Risk of Insider Trading and Other Trading Abuses
    • Mastering Critical Skills for High-Performance Compliance Professionals
    • Tracking the New ERISA Landscape: How Do the New Rules Apply to IAs and BDs?
    • Tales from the Dark Side: Compliance Breaches and Crisis Management
    • Developing Strong Procedures for Client Communications and Social Media
    • Compliance Concerns for Small Advisers including Merger and Succession Planning
    • Compliance Program Revisited: SEC’s Renewed Interest in CCO Competence and the Annual Review
    • Navigating the Complexities of Alternative Products, Private Placements and REITS
    • New Challenges in Marketing to Public Sector Clients: Lobbying Regulations, Pay-to-Play and a Special Focus on California Regulations
    • Tools from My Workbench: Seasoned Compliance Professionals Share Their Proven Methods for Getting the Job Done
    • Their Business is Your Business! Outside Business Activities- A New Perspective
    • Form PF: Expert Guidance on Understanding and Completing this New and Onerous Form
    • The Art and Science of Risk Assessment and Testing
    • Regulators Are Stepping Up Their Branch Office Reviews: Will Your Branch Office Audit Program Meet the Challenge?
    • Marketing Advisory Services: Advertising, Presenting Performance Data and the Impact of Social Media
    • It’s Not Just FINRA and the SEC - Other Regulatory Agencies Require BD Attention
    • Who’s Afraid of an SRO? Opposing Viewpoints on the Proposed Self-Regulatory Organization for Investment Advisers
    • SEC Enforcement’s Operation ADV: Readying Your ADV for the Increased Focus on Disclosures, Consistency and Conflicts
    • SEC Examinations and Enforcement: Adapting to Increased Scrutiny and Cooperation Between SEC Divisions
    • FINRA Examination and Enforcement Focus for 2012
    • Meeting the Challenge of the New Suitability Rule
    • SEC Examinations: Survival Strategies in a Changing Environment
    • Practical Compliance for Private Funds: Real-World Advice for theUnique Challenges of Private Fund Advisers

Practical Compliance for Private Funds: Real-World Advice for theUnique Challenges of Private Fund Advisers

1:00 PM – 3:00 PM
Wednesday, October 10

Speakers:
Mederic Daigneault, Christopher Ainsworth

This workshop is specifically designed to provide a ground-level view of the unique requirements and challenges facing CCOs of private funds.  Topics include:

  • What does “best execution” mean for investments not traded through brokers?
  • How do advertising rules impact a find’s pitchbook or slide presentation?
  • How should special-purpose entities be disclosed?  Does the adviser’s supervisory authority extend to these entities?
  • To what extent should personal trading procedures take into account a fund’s specific investment mandate?
  • How can a fund CCO successfully apply rules designed for securities advisers to a fund that does not invest in securities?

Back to the Agenda

  • Home
  • Privacy Policy
  • About Us
  • Contact Us
  • Events Calendar
  • NRS E-newsletter
Stay Informed...

When you sign up for our e-newsletter, you'll be the first to know about the latest events, news, and important articles about regulatory compliance.

© Copyright 2016 National Regulatory Services. All Rights Reserved.

RELX Group and the RE symbol are trademarks of Reed Elsevier Properties SA, used under license.