Date: 09 February 2017
Venue: The Lambs Club, 132 W 44th St, New York
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Join HFM for our next US Breakfast Briefing, in association with BDO, a free to attend event, held exclusively for named HFM members and trialists.
Featuring a panel-led discussion and informal networking, the Briefing is an excellent opportunity to update your knowledge, whilst meeting with your industry peers and connecting with new business contacts.
Practical steps to implementing the proposed AML rule for RIAs
– Establishing the compliance framework to assess and address the AML risks based on investor base and firm services
– Leveraging vendor or third party resources to achieve regulatory compliance
– Balancing the right compliance resources to monitor, assess and manage BSA/AML risks
Karen Shapiro, CCO, Zais Group
Michael Casey, counsel, Ropes & Gray
Nicole Lehman, senior manager, BDO
Adil Raza, senior manager, BDO
08:30 Registration & networking breakfast
09:15 Panel discussion – Practical steps to implementing the proposed AML rule for RIAs
The event is FREE to attend for existing named HFM members and trial users.
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– Direct access to daily news updates, data & analysis.
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