Operational and Compliance Best Practices for Hedge Funds

Risk Mitigation Strategies for Senior Decision Makers

Thursday, June 16, 2005

About

In the wake of the controversial December 2004 SEC rule mandating registration for the largely unregulated $800 billion hedge fund industry, it is critical that hedge fund executives get their firm up to an institutional standard of compliance. As you know, it is no small task designing and implementing operations and processes to meet the demands of such stringent requirements.

If you are at all involved with mitigating risk at your firm – as an in-house counsel, compliance officer, operating officer, senior manager charged with the task of compliance at hedge funds and fund of funds, or a prime broker or outside attorney representing hedge funds and their managers – you will not want to miss this publication.

Contents & Contributors

About

In the wake of the controversial December 2004 SEC rule mandating registration for the largely unregulated $800 billion hedge fund industry, it is critical that hedge fund executives get their firm up to an institutional standard of compliance. As you know, it is no small task designing and implementing operations and processes to meet the demands of such stringent requirements.

If you are at all involved with mitigating risk at your firm – as an in-house counsel, compliance officer, operating officer, senior manager charged with the task of compliance at hedge funds and fund of funds, or a prime broker or outside attorney representing hedge funds and their managers – you will not want to miss this publication.

Contents & Contributors


EMAIL RETENTION AND INFORMATION MANAGEMENT FOR HEDGE FUNDS
Ernest Badway, Saiber Schlesinger Satz & Goldstein, LLC
Gene Gohlke, SEC
Dan Nelson, Armstrong Teasdale LLP
Browning Marean III, DLA Piper Rudnick Gray Cary US, LLP
Tom Politowski, Waterford Technologies, Inc.

THE HEAT IS ON: THE HEDGE FUND INDUSTRY IS SQUARELY IN THE REGULATORY CROSS-HAIRS
Ernest E. Badway, Saiber Schlesinger Satz & Goldstein, LLC

BUSINESS RISK ANALYSIS
Frank Tripoli, Tremont Capital Management, Inc.

ERISA: FUND DILIGENCE ISSUES
Edward J. Rayner, Tannenbaum Helpern Syracuse & Hirschtritt LLP

HEDGE FUNDS IN IRELAND
Lorcan Tiernan, Dillon Eustace

CAYMAN ISLANDS OVERVIEW
John Wolf, Campbells

OPERATIONAL CONSIDERATIONS WHEN DESIGNING A COMPLIANCE PROGRAM: SAVING THE FARM…
Robert Bramnik, Duane Morris LLP

PERSONAL TRADING POLICIES AND CODES OF ETHICS: RULE 204A-1
Larry Lafer, The Bear Stearns Companies Inc.
Dan Karp, Basso Capital Management, Inc.
Joseph McGill, UBS Global Asset Management, Inc.

VALUATION FOR HEDGE FUNDS: DEVELOPING THE APPROPRIATE POLICIES AND PROCEDURES TO ENSURE A ROBUST NAV
Jitendra Sharma, Ernst & Young, LLP

SURVIVING AN AUDIT OF BEST EXECUTION: COMPLIANCE WITH SEC GUIDELINES
Lisa Conrad, Narragansett Asset Management
Udi Grofman, Schulte Roth & Zabel
Jeffrey C. Morton, Adviser Compliance Associates LLC
Barry Ritholz, Golden Tree Asset Management LP
Matthew Zweig, Intrepid Capital Management

AIMR TRADE MANAGEMENT GUIDELINES
Udi Grofman, Schulte Roth & Zabel

FINANCIAL SERVICES AUTHORITY ISSUES PROPOSED RULES REGARDING BUNDLED BROKERAGE AND SOFT COMMISSION ARRANGEMENTS
Michael Caccese, Kirkpatrick & Lockhart Nicholson Graham, LLP

SOFT DOLLARS AND BEST EXECUTION
Jay G. Baris, Kramer Levin Naftalis & Frankel LLP

SOFT DOLLAR ARRNAGEMENTS
Gerald T. Lins, ING Investment Management Americas



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