SEC Examinations: Minimizing Enforcement Risk

MFA Seminars and Symposiums

SEC Examinations: Minimizing Enforcement Risk

Thursday, July 10, 2014
3:00 p.m. – 5:00 p.m.

(Program will begin at 3:30 p.m. and conclude with a networking reception)

Co-hosted by:

schulte

Schulte Roth & Zabel
919 Third Avenue, 24th Floor
New York, NY 10022

Hedge fund managers face increased scrutiny from regulators with respect to all aspects of their business. Please join us to hear SEC examiners, in-house counsel and other experts discuss the hot button exam issues and what leads some examinations into enforcement.

Presenters Include:

• Marc Baum, Chief Administrative Officer & General Counsel, Serengeti Asset Management
Joseph D’Angelo, Securities Examiner, U.S. Securities and Exchange Commission
Majid Mahmood, Securities Examiner, U.S. Securities and Exchange Commission
David Momborquette, Partner, Schulte Roth & Zabel
• Sung-Hee Suh
, Partner, Schulte Roth & Zabel
• Scott Weisman, Managing Director, PricewaterhouseCoopers LLP

 

Click Here to Register
(Registration is complimentary for MFA Members and guests)
For questions please contact Randee Lee Ganter rganter@managedfunds.org
or 212.542.8468