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?

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