"#58902."--Spine "Prepared for distribution at the Hedge Fund Compliance & Regulatory Challenges 2015 Program, New York City, Live Webcast and Groupcast Locations -- ww.pli.edu, January 7."--Page 5. Includes bibliographical references and index.
Contents:
Assessing Your Risk: Is Your Compliance Program Current? (October 25, 2014) / K. Susan Grafton K&L Gates LLP -- Andrew J. Bowden, Director, U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, People Handling Other Peoples Money, Speech at Investment Adviser Association Compliance Conference (Arlington, VA) (March 6, 2014) / Andrew J Bowden Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission -- Assessing Your Risk: Is Your Compliance Program Current? (October 25, 2014) / K. Susan Grafton K&L Gates LLP -- U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Examination Priorities for 2014 (January 9, 2014) / K. Susan Grafton K&L Gates LLP -- U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Investment Adviser Examinations: Core Initial Request for Information (November 2008) / K. Susan Grafton K&L Gates LLP -- U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Risk Inventory Guide (2007) / K. Susan Grafton K&L Gates LLP -- U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Examination Priorities for 2014 (January 9, 2014) / K. Susan Grafton K&L Gates LLP -- Hot Topics in CPO/CTA and Derivatives Regulation (October 16, 2014) / Brian T Daly Schulte Roth & Zabel LLP -- Letter from Managed Funds Association to European Securities and Markets Authority Re: Consultation Paper and Discussion Paper on MiFID II/MiFIR (August 1, 2014) / Stuart J Kaswell Executive Vice President & Managing Director, General Counsel, Managed Funds Association -- Current Issues in Commodity Futures: Positon Limits and Aggregation / Brian T Daly Schulte Roth & Zabel LLP -- Stephanie R. Breslow et al., Hedge Funds Formation, Operation and Regulation, Regulatory Considerations, 5.04 5.06[6] (Law Journal Press 2014, Originally published: 2013) / Brian T Daly Schulte Roth & Zabel LLP -- Hot Topics in CPO/CTA and Derivatives Regulation (October 16, 2014) / Michael R Butowsky Jones Day Emily O Harris Jones Day Certain Investor Related Legal and Compliance Issues for Hedge Funds (October 24, 2014) / Cary J Meer K&L Gates LLP -- Certain Investor Related Legal and Compliance Issues for Hedge Funds (October 24, 2014) / Michael R Butowsky Jones Day Emily O Harris Jones Day
Series:
Corporate law and practice course handbook series ; number B2142
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