Presentations

2015 SILA National Education Conference

On October 6, 2015, Daniel LeGaye of The LeGaye Law Firm was a co-speaker at the 2015 SILA National Education Conference, which was held at the Gaylord Opryland Resort & Convention Center in Nashville, TN.  The panels’ topic was “Walk the Line or Face Enforcement” and the presentation was meant to provide insight into the current regulatory … Continue reading 2015 SILA National Education Conference

2014 NSCP National Conference – Washington, DC

National Society of Compliance Professionals Panel Information Date: Tuesday, October 21, 2014 Time: 2:00PM – 3:PM Where: Gayload National Harbor Resort & Convention Center Session 2b BD  Conflicts of Interest Conflicts of Interest – everybody has them Aviod the black eye – find, address, monitor & mitigate Impact – fiduciary and confidentiality obligations How are you suppose … Continue reading 2014 NSCP National Conference – Washington, DC

2014 NSCP Southern Regional Meeting – Dallas

National Society of Compliance Professionals Panel Information Date: Thursday, April 10, 2014 Time: 11:30 – 12:30 Where: Haynes and Boone, LLP, 2323 Victory Avenue, Suite 700, Dallas, Texas 75219 Session 2a GI – Cyber Security, Data Protection & Business Continuity (BC) Latest Hacker Ploys & Cyber Security Scams Protecting Client Information Employee Training, including the … Continue reading 2014 NSCP Southern Regional Meeting – Dallas

2013 NSCP Southern Regional Meeting – Atlanta

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 … Continue reading 2013 NSCP Southern Regional Meeting – Atlanta

2011 NSCP Southern Regional Meeting – Dallas

National Society of Compliance Professionals Panel Information Date: Thursday, April 11, 2011 Time: 3:45 – 5:00 Where: The Belo Mansion & Pavilion, 2101 Ross Avenue, Dallas, Texas 75201 BD Ethics – Code of Conduct ABA & State Bar Requirements for Attorneys to Report SEC Requirements for Self Reporting Practical tip for creation, distribution and analysis Use in Litigation and Investigations … Continue reading 2011 NSCP Southern Regional Meeting – Dallas