Thursday, April 19, 2012
2:30 p.m. – 5:00 p.m.
Registration begins at 2:00 p.m.
Networking reception to follow
The Princeton Club of New York
Prospect Lounge, 2nd Floor
15 West 43rd Street
(between 5th and 6th Avenues)
New York, NY 10036
The club dress code requires jackets and ties for men and attire of equal formality for ladies
MFA is pleased to welcome Andrew Bowden, who heads up the (“SEC”) national exam program for investment advisers and investment companies, to share with members for the first time the exam priorities for 2012 and his expectations for the industry. Mr. Bowden will be joined on a panel with his colleagues from the SEC’s Boston, New York and Chicago offices.
Our second panel will feature legal and compliance officers from MFA member firms to discuss compliance risks of organizations trading different, and often global, strategies.
Featured Presenters Include:
• Andrew J. Bowden, Associate Director, U.S. Securities and Exchange Commission,
• William J. Delmage, Assistant Director, U.S. Securities and Exchange Commission,
Regional Office of New York
• Michael E. Garrity, Associate Director, U.S. Securities and Exchange Commission,
Regional Office of Boston
• Jane E. Jarcho, Associate Director, U.S. Securities and Exchange Commission,
Regional Office of Chicago
• Brooke Bernstein, Chief Compliance Officer, Tudor Investment Corporation
• Laura DeVito, General Counsel and Chief Compliance Officer, Coatue Management LLC
• Marc E. Elovitz, Partner, Schulte Roth & Zabel LLP
• Elizabeth Shea Fries, Partner, Goodwin Procter LLP
• Alan K. Halfenger, Chief Compliance Officer, Bain Capital, LLC
• D. Forest Wolfe, General Counsel, Angelo, Gordon & Co., L.P.
For additional information, please contact Randee Lee Ganter or 212.542.8468