HFA Symposium: 2014 Key Compliance Priorities
February 6, 2014 | Boston
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.
Jul 8 2014 | 10:48am ET
The surge in derivatives regulation is among the most complex challenges facing the financial services industry today. Northern Trust’s Joshua Satten recently spoke with FINalternatives to share insights into the challenges presented by new regulation and explore how the industry is responding. Read more…