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Regulators' Panel - CTFC, SEC, DoJ & NFA priorities and the enforcement landscape
US Securities and Exchange Commission
Live step-by-step ODD meeting
Innovative funds and COOs are turning to their operating models and in particular their investment vehicles – to differentiate themselves and meet investor needs.
The focus of the 2017 GLG and GAIM Ops West Survey and keynote panel – gain an indepth understanding of how your investment vehicle offerings and practices compare to the industry, with analysis and comparisons from leading users of these new structures.
Hear it direct from the lead Regulators of the alternatives industry. With topics including the state of examinations, trade surveillance and regulatory spending on technology, payment fraud, reporting and more - you are sure to understand the priorities to focus your compliance on in 2018.
A cyber-attack has crippled your business, your company’s very survival is at risk. Critical, pre-planned, timely decisions must be implemented. Roles should be pre-defined not debated. You need additional resources, who are they? Is there a duty to report the incident? Can you/will you engage law-enforcement? While fighting the fight can essential business operations be continued?
Liquidity, side pockets, issues across strategies and much much more in this real time ODD meeting that will get to the heart of transparency and communication challenges between managers and investors.
Choose from seasons in three streams:
Stream A - ODD & Compliance Stream
Roundtable discussions on ODD & Compliance. 10 per table for an intimate group discussion lead by one of our expert speakers. Designed for you to get into the details of Ops and Compliance topics and have your key questions answered. First come first served, tables repeat 2 times:
Rotation 1: 3.05PM | Table Switch: 3.50PM | Rotation 2: 3.55PM | Concludes: 4.40PM
DoL Fiduciary Rule: what to do given uncertainty - Erin Simpson, Wilshire Fund Management
The evolution of hybrid structures: a convergence of hedge funds and private equity - Wendy Beer, Wells Fargo and David Poulten, Glendon Capital
Fund Insurance: Identifying priorities, what is required, cyber and more - David Pollok, Lighthouse Partners
Live Risk Monitoring and ODD on Individuals and Entities - Joann Arweiler, BDO & Jason Garelli, Strategic Investment Partners
Trade monitoring and surveillance: updates and expectations - JonMarc Buffa, CFTC
Managing NFA reporting rule 2-46 - Patricia Cushing, NFA
Evolution of ODD: 2017 trends and how to use DDQ data - Michelle Noyes, AIMA & Maura Harris, Bostwick Capital
Stream B - Operational Alpha: evolution of fund structures and fees
Stream C - Technology for Ops & Compliance