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Events / Sheraton - Los Angeles, CA

National Society of Compliance Professionals (NSCP) West Coast Roundtable

Event Date

March 16, 2009

Read Time

less than 1 minute


Partner David Porteous will be a presenter at the 2009 National Society of Compliance Professionals (NSCP) West Coast Roundtable. Mr. Porteous will present on the panel Hedge Fund Compliance And Risk Management Issues. Topics to be covered include:

• Post-Goldstein considerations regarding the “client”
• Implementing trade policies and monitoring trade practices
• Offering disclosures versus marketing disclosures
• Valuation policies and controls – determining fair value in volatile markets
• Establishing third-party arrangements: administrators, custodians, prime brokers, sub-advisors
• Short-selling controls: Form SH, Bear raids, market manipulation

Filed under: Litigation

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