National Society of Compliance Professionals
Panel Information
Date: Thursday, March 11, 2013
Time: 10:15am – 11:30am
Where: Alston + Bird LLP, Atlantic Center Plaza, 1180 West Peachtree St., Atlanta Ga
Investment Adviser, Private funds and Hedge Funds – Books and Records
- Understanding the nuts & bolts of Advisers Act Rule 204-2, including retention
- Reconciling the different requirements (Dodd-Frank, DOL, SEC, NFA)
- Enforcement issues surrounding record keeping
- Best practices and guidance for advisers and private fund advisers
- Technology solutions: How to access and monitor service providers, electronic versus paper storage