Insight Center: Webinars

Investment Management Roundtable: October 2018

Speakers: Gregory J. Nowak, Trey Bauer, Dave Dalzell and Timothy V. Frazier

12:00-1:00 PM (ET)
Investment Management Roundtable: October 2018

Presented by West LegalEdcenter

Join Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Funds Services Practice Group, for a series of candid, interactive discussions on what is going on now in the investment management world, including issues that affect private funds and their managers. This fall, we will be scheduling our topics for the 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.

For our October event, Mr. Nowak will be joined by Dave Dalzell and Trey Bauer from Dalzell Trading and Timothy V. Frazier from TriNet 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?

CLE credit available.



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