The Latest Regulatory Updates Straight from the US Regulators
With speakers from the SEC, the FBI, the Department of Justice and the NFA.
To recieve 50% off your registration please apply the VIP Code: FKM63355ACA or click here for the discount to be automatically applied.
|8:15 - 9:00||Registration and Refreshments|
|9:00 - 9:10||Chairperson’s Opening Remarks|
|9:10 - 9:45||
SEC Priorities and Changes
The Office of Compliance Inspections and Examinations (OCIE) is responsible for examination of all Investment Advisers and Investment Companies registered with the SEC. Because of the limitation of resources, in the last three years, OCIE has published its priorities in order to facilitate better compliance practices among registrants. This session will cover a quick over view of OCIE’s organization and resources, some demographic information about registrants, and discuss current examination priorities and initiatives for investment advisers and investment companies, with a particular emphasis on priorities relating to hedge fund and private equity advisers.
National Associate Director,
U.S Securities and Exchange Commission
|9:45 - 10:20||
SEC Enforcement –what is it and how do you deal with it?
The SEC’s Division of Enforcement conducts investigations into possible violations of the U.S. federal securities laws, and prosecutes the Commission's civil suits in the federal courts as well as its administrative proceedings. The Asset Management Unit is a specialized unit within the Division of Enforcement that is dedicated to investigating and pursuing misconduct across the asset management industry. Since its formation in 2010, the Asset Management Unit has brought enforcement actions against investment advisers – including advisers to mutual funds, hedge funds, and private equity funds – covering a broad range of issues and conduct. This session will provide background on the SEC’s Division of Enforcement, the Asset Management Unit and its mission and priorities, and discuss certain SEC enforcement actions that impact the asset management industry.
U.S Securities and Exchange Commission
|10:20 - 11:00||
SEC Regulatory reporting requirements in practice
|11:00 - 11:15||
|11:15 - 11:45||
NFA – Issues and Priorities
Since January 2013, many European hedge fund managers have had to register with the U.S regulators as Commodity Pool Operators and Commodity Trading Advisors. National Futures Association has commenced on-site examinations of UK CPOs and CTAs. This session will provide information on the NFA examination process, key regulatory issues and an update on new and proposed NFA and CFTC regulations, including:
National Futures Association
|11:45 - 12:25||
Addressing the Fund Marketing and Distributing Challenges Arising from the US Markets and US Customers
Morrison & Foerster
|12:25 - 1:25||Lunch|
|1:25 - 2:05||
Understanding Cyber Security Risk and the implications for a Fund Manager
There has been a lot of media coverage of the ‘cyberthreat’ and a number of high profile breaches at some big name organisations but how does the cyberrisk apply to a fund manager? This session will review the risks as they apply to a typical manager and consider how to build a cybersecurity programme to address these risks whilst also satisfying regulatory guidelines.
This will include:
ACA Aponix (Europe)
|2:05 - 2:45||
Optimising Fund Structures
|2:45 - 3:00||
|3:00 - 3:35||
What constitutes an effective compliance programme?
U.S Department of Justice
|3:35 - 4:15||
The FBI on Wall Street
This presentation provides an understanding of how the FBI became involved in the SEC’s seminal and sweeping investigation into insider trading conduct in the hedge fund industry. Topics covered include; collusion with expert networks, case studies, compliance best practices, use of sophisticated techniques (wire taps/undercover operations), and recruitment of cooperators.
Federal Bureau of Investigation
International Perspectives on Regulatory Developments in the OTC Derivatives Markets
European asset managers are currently involved in compliance with the reporting,risk management and clearing obligations of EMIR and assessing how theirtrading strategies may be required to change once MiFID II and MiFIR come into force. Despite these extensive EU obligations, European asset managers should not lose sight of their US regulatory obligations. This session will address current and upcoming regulatory obligations of European asset managers engaging in OTC derivatives and the cross-border challenges of compliance, and including:
|4:55 - 5:05||Chairperson’s closing remarks|