GAIM Regulation 2014

When: February 4th, 2014
Where: The Offices of Ropes & Gray
1211 Avenue of the Americas
New York, NY 10036


Join the SEC and SEC Compliance Consultants, Inc. for an informative session on SEC Hedge Fund Exams

Marc Wyatt, Senior Specialized Examiner, U.S. Securities and Exchange Commission and Linda Smith, Managing Director, SEC Compliance Consultants, Inc. (SEC3) will lead two sessions both covering Hedge Fund Examinations.

When: February 4th, 2014

Where: The Offices of Ropes & Gray
1211 Avenue of the Americas
New York, NY 10036

What: GAIM Regulation – New York

GAIM Regulation is an event that brings together regulators, compliance officers, compliance consultants and law firms in order to assist private fund managers acquire best practices for complying with regulatory requirements and prepare for audits.

Topics include:

  • How does the SEC select registrants for examination?
  • What topics are the examiners focused on and how do you get them out of your shop as quickly as possible?
  • What are the most common areas of concern in Private Fund exams?
  • How to handle an SEC exam efficiently and optimally.

Register here or call (888) 670-8200. Please use discount code XU2091L to receive a 20% discount extended to speaker contacts.