24 October 2018

BRIEFINGS US

HFM US Breakfast Briefing: Building a culture of compliance – how does streamlining the process improve efficiency?

Join us at the HFM US Breakfast Briefing, a free to attend event, featuring a panel-led discussion and informal networking.…



Date: 24 October 2018


Venue: Lambs Club, New York


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Add to Calendar 10/24/2018 8.15 America/New_York HFM US Breakfast Briefing: Building a culture of compliance – how does streamlining the process improve efficiency? Join us at the HFM US Breakfast Briefing, a free to attend event, featuring a panel-led discussion and informal networking.… Lambs Club, New York false MM/DD/YYYY

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Join us at the HFM US Breakfast Briefing, a free to attend event, featuring a panel-led discussion and informal networking.

The Briefing is an excellent opportunity to update your knowledge, whilst meeting with your peers and connecting with new business contacts.

Topic: Building a Culture of Compliance – how does Streamlining the Process Improve Efficiency?

Discussion points include:

  • How could you use behavioral science to prevent manipulative behavior and improve compliance?
  • How do you identify inefficiencies in your infrastructure and how can you put together an effective framework to resolve them?
  • With global regulatory bodies such as the FCA and the SEC beginning to increase pressure on asset managers and hedge funds, what steps can firms make to ensure they are prepared for the increase in regulatory scrutiny?
  • Exploring solutions for regulatory reporting. Does outsourcing, building an in-house system or buying an off the shelf product make the most sense? What are the benefits of outsourcing compliance versus building and in-house team?
  • What are the best methods for communicating compliance responsibilities to other departments in the firm?

Speakers include:
Moderator: Sam Dale, head of  news, HFM Week
Taras Chaban, global head of buy-side solutions, Nasdaq
Craig Peretz,CFO & COO, Sierra Global Management
Peter Wilson, managing director – compliance and regulatory consulting, Duff & Phelps
Lane Prince, head of supervision and business controls, Guggenheim Partners

 

 

Sponsored by:

Agenda:

08:15 Registration & networking breakfast
09:00 Panel discussion
09:45 Questions
10:00 Close

Venue:

The Lambs Club, 132 West 44th Street, New York, NY 10036 (between 6th Ave and Broadway)
Directions can be found here.

The event is FREE to attend for members and current trial users.

Join our membership community today and receive a wealth of benefits including:

– Direct access to daily news updates, data & analysis.
– Exclusive access to all of our monthly breakfast briefings
– Invitations to our collection of other events including awards, summits, dinners and webinars.
– Nine specialist networks for the latest industry trends.
– Benchmarking data for flows, performance and product development.
And more.

Register now for your free trial and experience the full range of benefits available to you.

Please note: this event is not open to any members of the press unless agreed in advance with the organisers.