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 &┬ábolts 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

 

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