In recent years, regulatory compliance obligations of hedge fund managers have expanded dramatically, as have examination and enforcement efforts of the Securities and Exchange Commission. Our panel of industry professionals will explore some key areas based on the SEC’s recent enforcement actions and its stated examination priorities for the coming year in order to provide managers with some practical considerations for examining their own policies and procedures, including: Custody and safeguarding of client assets: When will you be deemed to have custody and what you should be doing to comply with SEC rules? Performance and valuation concerns: What should you be mindful of when calculating and reporting performance of your strategies, and what should you be doing to document and support these calculations? Private placement concerns: What do you need to do to comply with recent amendment to Form D and Rule 506 (bad actor provisions)? Regulation M: What must managers be aware of when participating in secondary offerings of public issues? This HFA Boston Chapter Symposium is complimentary for HFA members, hedge fund managers and investors. Non-member service providers may attend on a very limited basis by paying a $60 registration fee per person in advance. Space is limited.
Speakers
Robert G. Sawyer, Counsel, Foley Hoag LLP
Daniel Marx, Partner, Foley Hoag LLP
Michael Megaw, Global Head of Regulatory Solutions, SS&C GlobeOp
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