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Events / Gleacher Center - Chicago, IL

National Society of Compliance Professionals – Chicago Roundtable

Event Date

April 20, 2009

Read Time

1 minute


Levenfeld Pearlstein is proud to be a sponsor of the National Society of Compliance Professionals (NSCP) Chicago Roundtable.

Partner David Porteous will present in the general session titled, Dialogue with Area Regulators. Topics to be discussed include:

  • Exam deficiencies and enforcement priorities
  • Regulatory landscape and SRO rule consolidation
  • Suitability and the aging investor: retirement and senior concerns
  • Credit crisis and implications on regulations


Mr. Porteous will be joined by, Jane E. Jarcho, SEC, Chicago Regional Office, Rosemary Hollinger, CFTC, Central Regional Office and Ed Wegener, FINRA, Chicago Regional Office.

Partner Scott Meyers will be presenting on Investor and Fiduciary Due Diligence Practices Post-Madoff: Trends and Best Practices. Topics to be discussed include:

  • Evaluating Hedge Fund Management and Investment
  • Skill Understanding Conflicts of Interest
  • Portfolio Level Dynamics: Investment return, risk, allocation, diversification
  • Ongoing Monitoring
  • Performing Audits: What to look for

Filed under: Litigation

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