Insight Center: Events

Investment Management and Private Funds: What's Happening Now?

Speakers: Gregory J. Nowak and Ausra Ragauskaite

5:00-7:00 PM (ET)
Investment Management and Private Funds: What's Happening Now?

Beer, wine and hors d'oeuvres will be served.

This fall, we are scheduling our topics for the Investment Roundtable Series on the sentinel events of the life cycle of a fund and management team. Each month, we will cover a different aspect, starting with formation issues in September through exit strategies in December. We encourage you to attend all of the sessions (and feel free to bring a friend!) to get a full view of what is involved. More detail on October’s roundtable is below as well as the list of the other topics for upcoming months. We hope you can join us for these sessions.

For our October event, your host, Pepper partner Gregory J. Nowak, will be joined by Pepper associate Ausra Ragauskaite, Dave Dalzell and Trey Bauer from Dalzell Trading, Timothy V. Frazier from TriNet, and Bill Xing from Panda Analytics, Inc. to discuss the economics and reasons for outsourcing. Topics will include:

  • What are the SEC and FINRA ground rules for outsourcing by registered investment advisers and broker dealers, respectively?
  • Who are the logical users of outsourced services and why:
    • FINOP and CCO
    • Custody and administration
    • Investment management
    • Trading
    • HR functions
    • What do these relationships look like? How do they operate in practice?
  • When is it a good time to outsource — at the beginning of your growth spurt, as you grow, or after you have turned the corner?

If you've attended previous Pepper events, make sure to spread the word to your colleagues. We encourage you to bring a friend from the industry!


Pepper Hamilton LLP
The New York Times Building
620 Eighth Avenue - 37th Floor
New York, NY 10018-1405


There is no cost to attend.

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