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Organizers:   The Hedge Fund Association
Name:   HFA Symposium: 2014 Key Compliance Priorities
Description:   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?
Location:   Boston
Fees:   Complimentary for HFA Members, Foley Hoag Guests, Hedge Fund Managers and Investors
StartDate:   Thursday, February 6, 2014
EndDate:   Thursday, February 6, 2014
Url:   files.thehfa.com/HFA_Chicago_01-09-2014.html
Email:   lblock@thehfa.org
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