Insight Center: Events & Webinars

Corporate Counsel's 8th Annual Hedge Fund General Counsel and Compliance Summit

Speakers: Edward T. Dartley and Jay A. Dubow


Best Practices for Chief Legal and Compliance Officers from Managers and Investors

October 1-2, 2014
Convene Times Square
810 Seventh Avenue
New York, NY 10019

Now in its eighth year, Corporate Counsel’s Annual Hedge Fund General Counsel Summit provides cutting-edge insight into the latest legal, regulatory and compliance opportunities and challenges faced by hedge fund managers and investors.

On October 1, Pepper partner Jay A. Dubow will moderate the 9:30 AM panel, "Keynote Panel Discussion: Tales from Behind the Scenes of a Regulatory Exam."

  • reports from in the trenches: how have other firms successfully prepared for an exam
  • what are regulators really looking for
  • examples of questions asked
  • exposures and liabilities you aren’t even aware of
  • tools and strategies for dealing with tight timeframes to produce exam documentation
  • establishing housekeeping rules to track requests that require responses and communicating with regulatory staff placed in your office.

Speakers to include:
Cynthia Marian, Vice President, Chief Compliance Officer & Deputy General Counsel, Tinicum, Inc.
Dianne Mattioli, Chief Compliance Officer, HEDGEMARK

Pepper attorney Edward T. Dartley will be leading the discussion on the 11:00 AM panel on October 1 on “Hedge Fund Marketing 101: Regulatory and Operational Considerations.” Panel topics include:

  • how should a manager market and make a public offering without triggering too much regulatory review
  • addressing the JOBS Act: is anyone actually doing it
  • international issues and complying with AIFMD
    • is reverse solicitation working
    • have funds that rely on reverse solicitation received inquiries from regulators or encountered problems
    • what is the latest way to document reverse solicitation
  • reviewing marketing materials
  • utilizing online tools and resources to stay up-to-date on regulatory requirements for investment advisors and funds.

Speakers to include:
Marc Baum, General Counsel and Chief Administrative Officer - Serengeti Asset Management
Simon Raykher, General Counsel - Kepos Capital LP

For more information and to register, visit http://www.cvent.com/events/8th-annual-hedge-fund-general-counsel-and-compliance-officer-summit-2014/event-summary-cf3dc67877e74e64b1ee8391f2c3d57f.aspx.