HedgeOp Compliance, LLC is happy to announce the 2009 schedule for our
Excellence in Compliance Seminar Series for investment
management professionals. Navigating today's ever-changing and complex regulatory environment is a difficult task. HedgeOp's seminar series
is designed to educate investment managers on important compliance-related topics to help streamline and simplify their compliance infrastructure.
September 30th - "Staying Prepared for an SEC Audit and Building a Culture of Compliance"
If you're like most investment managers registered with the SEC, you dread the day that the SEC knocks on your door to conduct an audit. This
seminar focuses on identifying the areas of your business that are likely to be scrutinized during an SEC examination and provide guidance on how
you can stay prepared for an SEC audit. In addition, we offer practical advice on how your firm can build a compliance program that will clearly
demonstrate your firm commitment to building and maintaining a "culture of compliance."
(Register Here)
December 2nd - "Reg S-P: Keeping You Client's Information Secure"
- In March 2008, the SEC released a set of proposed amendments to Regulation S-P which
seek to require registered investment advisers to enhance the protection of consumer financial information. If adopted, the proposed amendments would
require advisers to expand existing safeguards into a more expansive "information security program". During this seminar, we will help you understand
the expanded requirements under the proposal and discuss the hot button topics such as: (i) the identification of reasonably foreseeable risks at your
firm; (ii) designing information safeguards to control/manage the identified risks; (iii) setting up a plan for testing and training for staff; (iv)
evaluating the programs of your service providers; and (v) developing and reviewing your procedures related to unauthorized access of confidential
data.
(Register Here)
A Q&A session at the conclusion of the presentation will allow participants to ask
specific questions regarding these issues.
When: |
Various dates (see above), 5-6:30pm |
Where: |
All seminars will take place via WebEx.
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Cost: |
There is NO cost for these events. They are being hosted by HedgeOp Compliance,
LLC as a service to hedge fund professionals.
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Registration: |
To register for any of these, please click here. |
Video Library
You can view recordings of past "Excellence in Compliance" seminars on an "on-demand" basis. HedgeOp’s
Educational Library allows you to view past presentations and download presentation materials on your own time. Best of all,
it is completely FREE to members of the hedge fund community. For more information or to view the videos, click
here.
About HedgeOp Compliance, LLC
HedgeOp Compliance, LLC focuses exclusively on helping investment managers meet their compliance and regulatory obligations and
rise to meet operational challenges. The firm offers superior web-based compliance
tools and specialized compliance consulting services designed to assist advisers in dealing with
the heightened regulatory environment. HedgeOp Compliance consists of a team of qualified
professionals with a wide array of hedge fund, legal and technology experience.
Media Partners
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HedgeCo.Net is the leading online community for qualified investors, hedge funds and service providers. For investors, HedgeCo.Net
offers the premier free hedge fund database and powerful tools to search, rank and analyze potential investments. HedgeCo.Net members enjoy
access to daily news, manager columns, and a comprehensive directory of service providers.
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Albourne Village is a free and unique internet-based knowledge economy for the Alternative Investment and Private Equity community.
The site has been designed as an ideal environment for evolving hedge-fund news, intellectual property, content and debates on current issues,
as well as a valuable source of commercial contacts.
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