Prepared for distribution at the HEDGE FUND MANAGEMENT 2014 Program New York City and Live Webcast September 11
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1 Prepared for distribution at the HEDGE FUND MANAGEMENT 2014 Program New York City and Live Webcast September 11 CONTENTS: PROGRAM SCHEDULE FACULTY BIOS , Office of Compliance Inspections and Examinations, National Exam Program, Examination Priorities for 2014 (January 9, 2014) , Office of Compliance Inspections and Examinations, Letter to Never Before Examined Investment Advisers (February 20, 2014) , Office of Exam Program Risk Alert, Vol. III, Issue 4, Rule 105 of Regulation M: Short Selling in Connection with a Public Offering (September 17, 2013) , Office of Exam Program Risk Alert, Vol. IV, Issue 1, Investment Adviser Due Diligence Processes for Selecting Alternative Investments and Their Respective Managers (January 28, 2014)
2 5. Andrew J. Bowden, Director, Office of Compliance Inspections and Examinations, Speech at the Investment Adviser Association Compliance Conference: People Handling Other Peoples Money (March 6, 2014) , Office of Exam Program Risk Alert, Vol. III, Issue 1, Significant Deficiencies Involving Adviser Custody and Safety of Client Assets (March 4, 2013) , Staff Responses to Questions about the Pay to Play Rule (updated as of July 27, 2012) , Office of Exam Program Risk Alert, Vol. IV, Issue 2, OCIE Cybersecurity Initiative (April 15, 2014) , Office of Examination Risk Alert, Vol. II, Issue 2, Strengthening Practices for Preventing and Detecting Unauthorized Trading and Similar Activities (February 27, 2012)
3 10. Dodd-Frank Act Changes to Investment Adviser Registration Requirements , Investment Management Staff Issues of Interest (Modified April 9, 2013) , Deputy Director, U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Speech at the New York City Bar: What SEC Registration Means for Hedge Fund Advisers (May 11, 2012) , Division of Investment Management, Staff of the Investment Adviser Regulation Office, Regulation of Investment Advisers by the (March 2013) SIFMA Guidance on Rule 506(c) Verification (June 23, 2014) Thomas J. Kim Sidley Austin LLP 15. Prime Brokerage (PowerPoint slides) Harry Jho Harry Jho LLP 16. Investment Funds Caroline Williams Walkers 7
4 17. Regulation of Funds in the Cayman Islands Caroline Williams Walkers 18., Office of Exam Program Risk Alert, Vol. IV, Issue 1, Investment Adviser Due Diligence Processes for Selecting Alternative Investments and Their Respective Managers (January 28, 2014) Jessica A. Davis Lodge Hill Capital 19. Dodd-Frank Regulations Affecting Swaps (June 2014) Susan C. Ervin 20. Davis Polk, Flowcharts: Funds, Substantive Rules, Final Volcker Rule Regulations (January 6, 2014) Davis Polk, Client Newsletter, Investment Management Regulatory Update (December 20, 2013) Davis Polk, Client Memorandum, CFTC Issues Cross-Border Substituted Compliance Determinations, Provides Limited Phase In for Some Swap Requirements (January 7, 2014) Davis Polk, Client Memorandum, CFTC Adopts Final Harmonization Rules for Commodity Pool Operators (September 9, 2013)
5 24. Davis Polk, Client Newsletter, Investment Management Regulatory Update (May 16, 2013) Davis Polk, Client Newsletter, Investment Management Regulatory Update (January 27, 2014) Davis Polk, Client Newsletter, Investment Management Regulatory Update (September 26, 2013) Davis Polk, Client Memorandum, The Impact of the Alternative Investment Fund Managers Directive on Non-E.U. Managers of Non-E.U. Funds (June 4, 2013) Davis Polk, Client Newsflash, SEC Adopts Private Offering Reforms Mandated by JOBS Act (July 10, 2013) , From Black Box to Open Book, US Hedge Fund Trust and Transparency , Regulatory brief, A publication of s financial services regulatory practice, SEC sweep: Liquid alternative funds (June 2014)
6 31., FS Regulatory Brief, Expense Practices for Private Fund Advisers Compliance and Operational Issues (PowerPoint slides) Jamie Sklar, Schulte Partner Stephanie Breslow Discusses Hedge Fund Liquidity Management Tools in Practising Law Institute Seminar in THE HEDGE FUND LAW REPORT Vol. 5, No. 43 (November 15, 2012) Stephanie R. Breslow Schulte Roth & Zabel LLP 34. Outline, Managing Hedge Funds in Crisis Stephanie R. Breslow Schulte Roth & Zabel LLP INDEX Program Attorney: Danielle B. Cohen 10
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