transcript   Transcript

Hot Button Enforcement Issues for Private Funds

Recorded on: Dec. 5, 2017
Running Time: 01:01:47

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

Hot Button Enforcement Issues for Private Funds [01:01:47]
  • FINRA enforcement initiatives and cases in the hedge fund space
  • The Clayton SEC – what has changed and what remains the same
  • Use of political intelligence networks and insider trading – lessons from recent cases
  • SEC use of big data in developing enforcement cases
  • FCPA issues for private funds
  • Cybersecurity issues for private funds

Speakers: Wayne Carlin, Dixie L. Johnson, Colleen Mahoney, Lara C. Thyagarajan 

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)
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Dixie L. Johnson ~ King & Spalding
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Lara C Thyagarajan ~ Chief Counsel - New York Region, FINRA
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