The emergence of the “perfect” regulatory storm looms on the horizon as several agencies intensify their focus on hedge funds, private equity and other asset managers.  The SEC, CFTC, NFA, DOJ, Treasury and IRS continue to deepen their rules, regulations and reporting obligations.

In order to compete, firms must intelligently revamp their compliance and operations infrastructure otherwise the workload will become unmanageable. Moreover, Institutional Investors continue to refine their allocation requirements – raising the bar for Fund Managers to obtain investment mandates.  Allocators continue to strengthen their focus upon compliance infrastructure, succession planning, governance and the effective use of administrators.  Consequently, the negotiation process to win allocations has become increasingly difficult to navigate.

In the 2012 RCA Conference on Compliance, Risk & Enforcement, the latest developments, areas of focus, and potential new “white collar” prosecution and enforcement will be discussed.

A balance of law curriculum faculty and guest lecturers shall examine how to:

•  Protect your firm from the emerging risks of Regulatory Examinations and Enforcement Actions
•  Optimize your firm’s operations and processes to capitalize on escalating Institutional Investor requirements and industry transition trends.

Rory Cohen

Date, Time & Location
December 18, 2012
Time: 7:30 AM – 6:00 PM
The Pierre Hotel, New York, NY

For more information about this event, including a full agenda, or to register, please use the Register button below.

If you have questions, please contact Michelle DeAndrea at +1 312 701 8374 or

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