Financial Technologies Forum presents:
Fiduciary Crossfire Breakfast Briefing: Is the Attorney General Leading a Regulatory War on Wall Street?
Date Changed to: Thursday, June 17, 2010;
Registration begins at 7:30am, Panel Kicks off at 8 am – ends at 10 am
Where: NYC, NY
Financial institutions have come under scrutiny from NY Attorney General, Andrew Cuomo, about alleged regulatory and compliance issues. What is your firm doing to protect itself, and are you compliant in all necessary fields? A better understanding of regulations can help investment firms from being on the wrong end of an investigation and help clients from being on the losing end of a bad investment.
Panel Topics Include:
* A snapshot of The Attorney General's case involving Ivy Asset Management. What does the case mean for funds and compliance officers?
* What laws, if any, are outlined to protect clients from possible hearsay in regards to investment decisions?
* What fiduciary responsibilities, if any, did Ivy violate that other investment firms avoided when investing in Madoff? What should they have done and what could this do to you?
* Would a case have been filed if no profit was made? What if money had been lost? Would fiduciary responsibility still be under scrutiny?
* If Ivy allegedly saw Madoff’s questionable investment tactics, did other firms? Why Ivy, why now?
* What to expect from Cuomo and other Wall Street watchdogs in the coming months.
Panelists:
- Suzanne McDermott, Chief Compliance Officer, Halcyon Asset Management LLC
- Samantha Rick, Chief Compliance Officer, Credit Agricole Asset Management Alternative Investments
- Larry Block, Senior Vice President, General Counsel Kenmar
For more information click here
If you enjoyed this article, please click the "Subscribe" button above to receive new articles
Comments