MFA Blog

Professional Ethics and Hedge Fund Compliance Highlighted at Roundtable Discussion at Compliance 2014

Posted on May 7, 2014

MFA’s Compliance 2014 conference included a roundtable discussion this afternoon with a focus on professional ethics and hedge fund compliance.  Session participants discussed ethics obligations from state bar rule, ABA rules, SEC rules, liquid alternatives rules, and Sarbanes-Oxley.  Participants noted that there are different ethics issues for outside counsel and in-house counsel where the client is your employer.  They discussed some of those differences and obligations with session participants.

Brian Daly, Partner, Schulte Roth & Zabel LLP; Eric Ross, Managing Director and Chief Compliance Officer, Avenue Capital Group; and David Stiepleman, Chief Operating Officer, TPG Special Situation Partners were the roundtable discussion leaders.

MFA’s coverage of Compliance 2014 from New York will continue with another update from the event.