SEC Compliance Priorities

MFA Seminars and Symposiums

SEC Compliance Priorities

View the Agenda here

Thursday, April 19, 2012
2:30 p.m. – 5:00 p.m.
Registration begins at 2:00 p.m.
Networking reception to follow

Co-Sponsored by:

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:

Regulators:
Andrew J. Bowden, Associate Director, U.S. Securities and Exchange Commission,
Washington, DC
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

Panelists:
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.

Click here to register


For additional information, please contact Randee Lee Ganter or 212.542.8468