Adam Reback is the Chief Compliance Officer of J. Goldman & Co. (JGC), a hedge fund, based in New York City. Mr. Reback joined JGC in 2006 and has more than 12 years experience in hedge fund, investment adviser, investment company, and broker-dealer compliance. Mr. Reback has primary responsibility for all Legal/Compliance matters of JGC and ensures that the firm is in compliance with all applicable regulatory requirements. He holds Series 7, 9, 10, 24, 62, and 63 registrations. Mr. Reback is a member of The National Society of Compliance Professionals (NSCP) and is a founding member of The Alternative Investment Compliance Association (AICA).
Amy Lynch is the founder and President of FrontLine Compliance, LLC in Alexandria, Va. Ms. Lynch has more than 19 years experience in the financial services industry. She began her compliance career with the SEC’s Office of Compliance Inspections & Examinations, working in both the New York and Washington, D.C. offices. At the SEC, she was responsible for conducting examinations of mutual funds, investment advisers, and insurance firms nationwide. From there she moved into the private sector where she served as DOC and CCO for firms such as Mercantile Capital Advisors, Inc. (a bank affiliated investment adviser) and E*Trade Financial, and was Vice President at RegEd.com, where she developed a leading branch audit software program. She also has worked with FINRA’s Enforcement Department in Washington, D.C.
Margaret Paradis is a partner with Baker & McKenzie’s North American Corporate & Securities Practice Group in New York City. Ms. Paradis is an investment fund and asset management attorney, focusing her practice on product development for the U.S. and global markets and compliance for investment advisers. She has extensive experience counseling investment advisers on the securities laws applicable to public and private investment funds and advisory activities. She has advised on the range of securities issues involved in the ongoing operations of an advisory firm, as well as product development with a focus on funds, separate account management, and wrap programs.
Alberta Roberts is Vice-President and Chief Compliance Officer at Harris Investor Services in Chicago, a dually registered broker/dealer and investment advisory firm. She formerly served as Chief Compliance officer for a mid-size insurance company and their affiliated broker dealer. During her 20 plus years in the securities industry she has worked as a regulator and has been responsible for compliance and operations in bank and insurance affiliated brokerage firms.
This webinar was originally recorded March 10, 2009, 2:00 – 3:30 p.m., but due to the overwhelming demand for the recording, we have made it available on CD for your convenience.
to Listen in
- Chief Compliance Officers
- Compliance Managers
- General Counsel
- Senior Managers
Trade errors happen. It’s how you handle them that matters.
While the SEC hasn’t issued specific regulations governing trade errors, the agency has expressed guidance on best practices. This webinar combines an overview of SEC suggestions – from developing policies to keeping a log of errors – with real-world techniques sure to compliment your program.
Do not be mistaken into thinking the lack of specific regulations addressing trade errors erases compliance risks. On the contrary, certain transactions can easily evolve into an anti-fraud violation. And even a simple trade error can run afoul of section 206 of the Advisers Act.
This CD will explain where the legal risks reside – including when errors can spawn violations of cross-trading and principal trading rules. Plus, you hear commonsense and creative ways to tackle issues, such as resolving multiple errors, deciding what to do with any surplus and booking revenue.
Purchase the CD of the March 10th webinar, Proven Compliance Strategies to Tackle Trade Errors and find out:
- Six items a compliance officer should make part of any trade error report.
- Ways to test your firm’s risks.
- Why you can’t simply move a transaction into an error account.
- How to monitor for the inherent risks of a principal transaction.
- Innovative – and compliant – ways to resolve an error that results in a surplus.
- The benefits of shifting a pre-settlement trade error to a house account.
- How to figure if a trade error actually even occurred.
- The best way to inform a client of a trade error.
- Possible solutions thanks to technology.
- And much more.
YES, please rush me a copy of the CD and the speaker presentation materials of the webinar, Proven Compliance Strategies to Tackle Trade Errors for $245 [A1748CD].
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© 2009 IA Watch
Webinars are sponsored by IA Week, a publication of IA Watch, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.