SEC Inspections & CCOs examines the responsibilities of Chief Compliance Officers and explores what is involved in a compliance programme, an annual review and a SEC inspection for a non-US manager that is registered with the SEC. SEC Inspections and CCOs is led by Mark Berman of ComplGlobe Ltd., a former SEC lawyer and editor of SEC Regulation Outside the United States. It includes presentations by Robert Plaze, Deputy Director for Regulation of the SEC’s Division of Investment Management and Andrew Bowden, Associate Director of the SEC’s Office of Compliance Inspections and Examinations.
The workshop is suitable for those with little or no knowledge of the U.S securities laws, the SEC and the SEC’s rules and regulations.
Fri, 19/12/2014 - 10:24
With service providers reporting growth in hybrid funds, funds for single investors and bespoke managed accounts, this report examines the regulations and new services being developed in Cayman to tackle the fast-changing offshore funds market... »
Fri, 19/12/2014 - 09:11
Voting for the 6th edition of the Hedgeweek Global Awards is now open. The Awards will be presented at a lunch ceremony to be held in London. ... »
Tue, 09/12/2014 - 09:58
Read how managed accounts platforms are now catering to a wide spectrum of investor needs, from straightforward commingled funds to sophisticated infrastructure solutions for the largest institutional investors. And the rise of liquid alternatives means that onshore funds - UCITS, AIFs and '40 Act funds - are becoming just as popular as offshore funds... »
Thu, 11/12/2014 - 11:31
Global assets under management* of the private real estate industry have reached USD742bn, an all-time high for the industry, and up from USD697bn as of the end of 2013. Preqin’s Andrew Moylan takes a look at the latest stats on the industry. ... »
Fri, 28/11/2014 - 12:01
In this report S&P Capital IQ examines how credit events can impact on the price of equities. The results are compelling. The report looks at the relationship between credit indicators and equity back-tested returns. ... »