The Hedge Fund Operational Risk and Compliance Summit

Delamar Hotel - Greenwich, Connecticut
Wednesday June 25, 2008



Conference Agenda

2:30 PM - Registration



3:00 - 3:15 PM
Event Co-Chairmen Welcome

Walter Zebrowski, JD, CPA, CIO, Hedgemony Partners
  Chairman, Regulatory Compliance Association

Howard Altman, CPA, Co-Managing Principal, Rothstein Kass



3:15 – 4:00 PM
Regulatory Trends and Outlook 2008

Many institutional investors, counterparties, prime brokers and administrators have become increasingly interested in analyzing and evaluating the fund manager’s governance and compliance infrastructure as well as conducting extensive interviews with Firm personnel. The panel will provide a preview addressing the issues of interest to regulatory authorities in the prospective year.

Moderator:
Howard Altman, CPA, Co-Managing Principal, Rothstein Kass

Panelists:
Meyer Eisenberg, JD, Deputy GC & Director, IM Division, SEC (retired)
Dan Driscoll, EVP & CCO, National Futures Association
Marc Baum, JD, CPA, CCO, Ramius Capital Group
Peter Greene, JD, Partner, Lowenstein Sandler



4:00 – 4:45 PM
Regulatory Investigations and Enforcement Actions

This session will provide a unique and in-depth overview regarding investigation and enforcement policies and methodologies of the US Department of Justice and the SEC Division of Enforcement. The panel will be:

Moderator:
Walter Zebrowski, JD, CPA, CIO, Hedgemony Partners
  Chairman, Regulatory Compliance Association

Panelists:
Kevin O'Connor, JD, Associate Attorney General, US Dept. of Justice
Martin Schwartz, JD, CPA, CCO, Millennium Partners
Matthew Oliver, JD, Partner, Lowenstein Sandler



4:45 – 5:30 PM
Industrialization of Hedge Funds: The Rise of Operational Risk Management^TM

Allocators have a fiduciary duty to their investors, shareholders and plan participants. In order to adequately discharge this fiduciary duty, Allocators must develop and refine operational risk management due diligence processes to monitor the Advisers and Funds managing their Firm’s assets. Consequently, our industry has evolved beyond the point of “running the business from spreadsheets”.

The panel in this session will explore:

• the components of an operational and portfolio risk management review;
• strategic methods to refine the risk management process;
• tactical techniques to enhance risk management processes.

Moderator:
Gary Berger, CPA, Principal, Rothstein Kass

Panelists:
Larry Friend, CPA, Partner, PricewaterhouseCoopers, (Retired)
  Chief Accountant, Division of Investment Management, SEC (Former)
Kip Allardt, COO & CCO, Discovery Funds Management
Michael Lynch, Head of ORM, Tremont Capital Management
Stephen McCaffrey, JD, Senior Counsel for Plans, KeySpan Corporation



5:30 – 6:15 PM
Valuation - A New Era in Compliance

The CCO University Faculty and panelists will discuss:

• Proper Oversight - Ownership of the Process;
• Addressing Conflicts of Interest;
• New Procedures and Controls In Light of the Current Environment;
• Side Pocket Practices;
• Forensic Testing;
• How To Identify and Address Red Flags and Poor Controls;
• No Rogue Trader - The Plight of Barings Bank and Society General.

Moderator:
Marie DeFalco, JD, Partner, Lowenstein Sandler

Panelists:
Chris Mears, CPA, Principal, Rothstein Kass
Myles Edwards, JD, GC & CCO, Access International Advisors
Mark Polemeni, JD, CLO & CCO, Alexandra Investment Management



For more information please call 212-997-3999 or you may Register now by Clicking Here.