Usable Lessons and Proven Survival Techniques from the Hedge Fund Examination Trenches

A recent PracticeEdge session presented by the Regulatory Compliance Association explored the panelists’ experiences with SEC and NFA examinations and provided an overview of key substantive issues that are likely to be addressed in those exams.  The program was moderated by Christopher M. Wells, a partner at Proskauer Rose LLP.  The other speakers were Cynthia Marian, a Vice President, Chief Compliance Officer and Deputy General Counsel of Tinicum, Inc.; Dianne Mattioli, CCO of Hedgemark Securities; Mark Polemeni, CCO – Asset Management at Citadel, LLC; and Catherine Smith, General Counsel of Guidepoint Global, LLC.  See also “RCA Symposium Offers Perspectives from Regulators and Industry Experts on 2014 Examination and Enforcement Priorities, Fund Distribution Challenges, Conducting Risk Assessments, Compliance Best Practices and Administrator Shadowing (Part Three of Three),” Hedge Fund Law Report, Vol. 7, No. 1 (Jan. 9, 2014).

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