transcript   Transcript

Current Hedge and Private Fund Enforcement Priorities - The Enforcers' Perspective

Recorded on: Dec. 5, 2017
Running Time: 01:06:45

Full Transcript:



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Taken from the Web Program Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017 Recorded December 2017 in New York

Current Hedge and Private Fund Enforcement Priorities - The Enforcers' Perspective [01:06:45]
  • SEC Oversight of Private Funds - enforcement priorities and trends
  • CFTC enforcement and regulation in the private fund space
  • Criminal perspectives and prosecutions post Salman and Martoma
  • Strategies for avoiding and successfully resolving “bet the fund” and high profile government investigations

Speakers: Tim Kasulis, Anthony S. Kelly, James McDonald, Katherine Milgram, Mark K. Schonfeld

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • 2017 Mid-Year Securities Enforcement Update (July 18, 2017)
    Barry R. Goldsmith
  • K. Susan Grafton and Linda J. Muzere, Challenges for Private Fund Advisers in Establishing and Maintaining a Compliance Program (September 29, 2017)
    K. Susan Grafton
  • Insider Trading: Where Is the Line?
    Stephen J. Crimmins
  • The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers, the Office of Compliance Inspections and Examinations, National Exam Program Risk Alert, Volume VI, Issue 3 (February 7, 2017)
(s)
Telemachus P. Kasulis ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney's Office, Southern District of New York
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
James McDonald ~ Director, Division of Enforcement, Enforcement Division, U.S. Commodity Futures Trading Commission
Katherine Milgram ~ Chief of the Investor Protection Bureau, NY State Office of Attorney General
Mark K. Schonfeld ~ Gibson, Dunn & Crutcher LLP
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