The Knowledge Group Has Scheduled a Live Webcast on Securities Laws in 2014: SEC Examinations of Investment Advisers and Privately-Managed Funds
New York, NY, July 04, 2014 --(PR.com
)-- In a two hour live webcast, a panel of thought leaders and practitioners assembled by The Knowledge Group will discuss the significant and latest issues with respect to the SEC examinations of investment advisers and privately-managed funds to comply with federal securities laws.
Key topics include:
• Overview of exam process…how firms are selected, red flags, due diligence, document requests, outside inspections, final results reporting
• Exam initiative of private fund advisers, exam deficiencies, four categories of illiquid securities, custody rules
· Role of outside counsel and how the evolving environments factors into it
• Multiple parties and their obligations
• Value of having conversations with regulator directly
• Educating clients on need for documentation
· Valuation Related Issues
• Best practices for valuation, Strategies, techniques and a lot more!
Staff Accountant, SEC’s Los Angeles Regional Office, Chairman of the Portfolio Valuation and Alternative Assets Group
Harris I. Antoniades and Christina E. Carroll, Managing Directors, Stout Risius Ross, Inc.
Jennifer Bellah – Maguire, Partner, Gibson, Dunn & Crutcher LLP
For an updated list of the faculty panel, please visit:
About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Group, LLC brings together the world's leading authorities and industry participants through informative two-hour webcasts that study the impact of changing regulations and help businesses succeed through proper regulatory compliance.
Visit http://theknowledgegroup.org/ for further information and inquiry.