transcript   Transcript

Quantitative, Systemic and Algorithmic Trading - Regulatory Pitfalls and Concerns

Recorded on: Dec. 5, 2017
Running Time: 01:04:43

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

Quantitative, Systemic and Algorithmic Trading - Regulatory Pitfalls and Concerns [01:04:43]
  • Effective supervision of quantitative and systematic trading strategies
  • Managing trade errors in a systematic context
  • Marketing considerations for quantitative managers
  • Managing exposure arising from direct electronic exchange access
  • Protecting intellectual property in examinations and enforcement proceedings
  • Enforcing confidentiality in an era of open source code and peer-to-peer collaboration
  • Looking to the future of quant: issues posed by artificial intelligence

Speakers: Brian Daly, Simon Raykher, Robin Roger, Perry Vais, Elcin Yildirim 

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
  • 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)
Presentation Material
  • Quantitative, Systematic and Algorithmic Trading - Regulatory Pitfalls and Concerns: Current Topics and Compliance Considerations
    Brian T. Daly
  • SEC and AXA Rosenberg Settlement
    Brian T. Daly
  • SEC and F Squared Settlement
    Brian T. Daly
Brian T. Daly ~ Schulte Roth & Zabel LLP
Simon Raykher ~ Kepos Capital LP
Robin Roger ~ General Counsel, Engineers Gate Manager LP
Perry Vais ~ Blue Mountain Capital Management, LLC
Elcin Yildirim ~ U.S. Securities and Exchange Commission
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