Partner Pat Poglinco will moderate a panel at the IAA’s Annual Investment Adviser Compliance Conference.
About the Panel
Friday, March 15, 2019
11:00 am – 12:00 pm
Hedge Funds Hot Topics
Panelists will discuss regulatory topics of interest to hedge fund advisers, including allocation of fees and expenses, disclosure, co-investments, conflicts of interest, side letters, valuation, and other legal and compliance program issues unique to hedge fund advisers. The panelists will also hear about initiatives in the Private Funds Unit of the SEC’s Office of Compliance Inspections and Examinations.
- Jisha Dymond, Chief of Staff & Compliance Counsel, Oz Management
- John Pollard, Director of Compliance, EJF Capital LLC
- Daniel Kahl, Co-Deputy Director and Chief Counsel, Office of Compliance Inspections and Examinations, Securities and Exchange Commission
- Patricia A. Poglinco, Partner, Seward & Kissel LLP, Moderator
About the Conference
The IAA’s annual Investment Adviser Compliance Conference is a comprehensive two-day program that provides investment advisers with the most current information available on the changing regulatory landscape. Participants return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program. In addition to meeting and interacting with peers, attendees will hear from a distinguished roster of speakers that includes SEC staff, investment adviser industry professionals, and legal experts.
The conference covers a wide range of compliance issues, both in plenary sessions and in numerous breakout sessions. Video recordings of all breakout sessions are available after the conference exclusively to conference attendees. The conference is approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit. It is also approved for CLE credit and for NASBA CPE credit.
For more information, please click here.
Seward & Kissel Event
We invite you to join us for hors d’oeuvres, cocktails and dinner.
Thursday, March 14, 2019
7:30 pm – 10:30 pm
Please contact Andrew Scott or Royce Akiva for more information.