Wall Street Symposium

Accelerated Professional Development for Companies and Employees This symposium presents an overview of the regulatory and registration requirements of hedge funds. Starting with a review of pertinent legislation, e.g., the Securities Act of 1933, the Securities and Exchange Act of 1934, the Investment Advisers Act and the Investment Company Act of 1940, the Commodity Futures Trading Commission Act of 1970, and the Dodd-Frank Act of 2010, this symposium builds a historical framework, enabling participants to examine hedge fund regulation and trends in a broad, global context. With this perspective, the symposium examines current compliance issues with regard to the process of order-execution/clearance and settlement, insider-trading, and soft-dollars as well as the role of prime brokers.

Learn how the regulatory trends impacts the management of hedge funds and position your investment.

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