HedgeOp Compliance presents its Excellence in Compliance Seminar Series for investment management professionals.

Navigating today's ever-changing and complex regulatory environment is a difficult task. HedgeOp's seminar series is designed to educate investment managers on important compliance-related topics to help streamline and simplify their compliance infrastructure. 

December 21 - "Reg S-P: Keeping You Client's Information Secure"

In March 2008, the SEC released a set of proposed amendments to Regulation S-P which seek to require registered investment advisers to enhance the protection of consumer financial information. If adopted, the proposed amendments would require advisers to expand existing safeguards into a more expansive "information security program". During this seminar, we will help you understand the expanded requirements under the proposal and discuss the hot button topics such as: (i) the identification of reasonably foreseeable risks at your firm; (ii) designing information safeguards to control/manage the identified risks; (iii) setting up a plan for testing and training for staff; (iv) evaluating the programs of your service providers; and (v) developing and reviewing your procedures related to unauthorized access of confidential data.

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