02 Mar 2018
02:15- 04:30



Bolstering Current Risk Assessment Practices:
Identifying Liability and Evaluating Testing Procedures

Christopher P. Meyering
Chief Legal Officer and Chief Compliance Officer
Sciens Capital Management

Sidney Wigfall
Founding Managing Partner
SCA Group

  • How to update you compliance framework with a risk-based model reasonably designed to comply with varying regulations
  • Determining what types of risk are present at your firm and knowing how to mitigate them
  • Identifying areas for modification to update your policies and procedures to address risk
  • Reviewing the OCIE Risk Alert outlining common compliance topics
  • Designing your periodic testing procedures to ensure the strength of your compliance program


Preparing for the “Best Execution” Requirements and MiFID II Reporting: Bifurcation of Research

  • Understanding the profound impact the MiFID II reforms will have on the operations of financial institutions in the EU and around the world.
  • Preparing for the consequences of potential revenue loss for failure to comply
  • Reaping the benefits of market opportunities stemming born from advanced planning


Developing a Due Diligence Checklist
to Guarantee Service Provider Integrity

John F. Tobon
Deputy Special Agent in Charge
Homeland Security Investigations

  • Understanding investor due diligence and compliance requirements
  • Red flags that will steer investors away
  • Identifying and tracking potential conflicts of interest
  • Conducting site visits and extensive interviews with third party providers
  • Outlining today’s asset managers due diligence obligations

Revamping the Global Operations Model:
Seamlessly Scaling and Growing Your Business by Embracing Emerging Technologies

Dennis j. Westley
Managing Director
Apex Fund Services

  • Using technology to counteract the lack of standardization with automation and standardization
  • Embracing a collaborative approach to a centralized platform
  • Enhancing capital raising and distribution to grow your tech budgets
  • Improving transparency to increase investor confidence
  • Tips for scaling your business for greater growth

The Yates Memo Lives:
Exploring the Findings of Individual Culpability for Corporate Misconduct

Tracie A. Razzagone
Supervisory Special Agent

  • Examining the DOJ’s approach to corporate cooperation “credit”
  • Assessing the SEC’s staff prioritizing individual responsibility in enforcement actions
  • Reviewing the implications of the Och-Ziff settlement
  • Analyzing the role the DOJ and the SEC will play in setting standards and precedent for additional enforcement actions
  • Identifying potential risks in international operations
  • Ensuring your compliance team remains active in reviewing investment transactions
  • Pinpointing corruption risks by conducting diligence investigations

Evaluating the Challenges Relating to Valuation: Developing Best Practices to Achieve Operational Success

Adam Cohen
Managing Director, Asset Management
Perella Weinberg Partners

  • Establishing criteria for the use of third party valuation experts and knowing when to enlist their services
  • Overcoming challenges associated with proper valuation of illiquid assets
  • Easing regulatory and investor concerns stemming from valuation challenges
  • Examining valuation processes for specific classes of alternative assets