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RCA Corporate Sponsors
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Ernst & Young is a global leader in professional services.
We have over 100,000 professionals in more than 140 countries around the globe, who pursue the highest levels of
integrity and quality. The professionalism of our people provides our clients with services based on financial,
transactional, and risk management knowledge in our core offerings - assurance, tax, transactions, and advisory.
Our Asset Management Advisory Services practice brings an integrated team of professionals and skills to each client
we serve, bringing practical experience in asset management operations, project management, regulatory compliance,
and risk management. Our compliance team spans regulations and industries. Our regulatory engagements expand beyond
an identification of regulatory risks in the environment. We provide practical recommendations for remediation of
identified deficiencies and, if needed, have the skills needed to assist implementation.
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TurboCompliance works in concert with your lawfirm, CPA and compliance/operations personnel to automate your
regulatory compliance procedures as well as corporate governance and internal policy requirements.
Over the last 10 years, our alliance partners have found that TurboCompliance can reduce the compliance work load and
related costs by approximately 75 percent.
TurboCompliance installs a well organized internal control structure around the work flow of each business process
to deliver the following depth of compliance automation, in real time:
- Monitoring & supervising personnel
- Detecting or preventing incompliance
- Reporting up the chain of command
- Documenting all incompliance on each person's Compliance ScoreCardTM
- Censuring members of the firm based upon the firm's rule set
- Maintaining unique risk ratings for each act of non-compliance
- Preparing your annual review (SOX, GLB, NASD, SEC, HIPPA, FSA)
- Performing forensic testing, mock audits and trending
- Sustaining a constant state of readiness for an examination
- Satisfying SOX, GLB, NASD, SEC, HIPPA, FSA books and records requirements
RIMM in partnership with TurboCompliance, developed the Blackberry TurboCompliance platform which delivers the same
TurboCompliance functionality over the Blackberry, in real time.
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Schulte Roth & Zabel LLP, with 400 attorneys, has offices in New York and London. Our practice areas include
investment management, business transactions, business reorganization, finance, structured products and derivatives,
tax, litigation, employment and employee benefits, real estate, intellectual property, environmental, individual
client services and pro bono.
SRZ represents a wide variety of mutual funds, closed-end funds and domestic and offshore private investment funds,
as well as investment advisers, banks and broker-dealers that provide services to funds. We provide creative,
effective assistance to clients in structuring innovative investment products, including registered hedge funds and
other alternative investment vehicles. SRZ also represents independent directors of mutual funds and provides the
full range of services required by fund groups, including fund registration, compliance, tax and ERISA matters, and
representation of fund clients in connection with investment adviser acquisitions and litigation.
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Rothstein Kass is a professional services firm with nearly 50 years of experience. Always a believer in the value of
expertise, we continue to expand our capabilities across a range of interrelated disciplines, while extending our
reach across the country, and through strategic alliances, around the world. Rothstein Kass' Commercial Services
Group provides private and public businesses, and individuals and families, with a wide range of essential and
complementary professional services.
Our Financial Services Group provides services for many high-profile and
respected clients including alternative investments (hedge funds, fund of funds and private equity), broker-dealers
and registered investment advisors. Both start-ups and established entities benefit from our highly specialized and
expert staff entirely dedicated to this unique industry. Additionally, the Firm's Family Office Group provides
financial and administrative services to family offices, business owners and high-net worth individuals.
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Dechert is one of the pre-eminent law firms in the United States and Europe for its representation of funds and
advisors. Our more than 120 lawyers, based in offices throughout the United States and Europe, offer clients an
exceptional range and depth of services to mutual funds, investment advisors, broker-dealers, commodity trading
advisors, futures brokers, insurance companies, and many other clients in the investment world. The group is ranked
among the top law practices advising hedge funds, according to The American Lawyer and CogentHedge.
In 2004, 2005 and 2006, the group was named as one of the top investment practices in the United States by Chambers USA.
In Europe, we are noted by Chambers and Partners and The Legal 500 as a leading law firm counseling financial
services and investment funds.
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Shearman & Sterling LLP (www.shearman.com) has been advising many of the world's leading corporations and financial
institutions, governments and governmental organizations for more than 130 years. The firm's Asset Management Group
offers a broad range of legal services to registered and unregistered funds and advisers, working with clients in
the United States and throughout the world from offices in New York, Washington, DC and London. The group includes a
prominent alternative investment practice, representing hedge fund managers, fund-of-funds managers and administrators,
and a derivatives team that provides structuring, documentation and transaction execution assistance on derivative
and structured products.
The Asset Management Group also provides tailored compliance-related services, assisting in the design, implementation
and testing of compliance programs, regulatory examinations, and, together with the firm's litigators, regulatory
enforcement and "pre-enforcement" defense.
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RiskMetrics Group is a leading provider of risk management and corporate governance products and services to financial market participants.
By bringing transparency, expertise and access to the financial markets, RiskMetrics Group helps investors better understand and manage the risks
inherent in their financial portfolios. Our solutions address a broad spectrum of risk across our clients’ financial assets.
Headquartered in New York with 19 global offices, RiskMetrics Group serves some of the most prestigious institutions and corporations worldwide.
For more information, please visit: www.riskmetrics.com.
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McGladrey & Pullen, LLP, is a leading national CPA firm focused on meeting the audit and accounting needs of midsized
companies. We serve clients from approximately 100 offices across the United States.
McGladrey & Pullen approaches the audit as a service for the benefit of stakeholders. An audit is also intelligence
to help you run your business better, now and in the future: a vehicle for both verification and continuous improvement.
We place strict standards and high expectations on our professionals to deliver a final work product that fairly,
fully and independently assesses the condition of your company. You can be assured of a thorough process, efficiently
delivered, within reasonable cost.
McGladrey & Pullen has developed its own audit methodology, electronic audit work paper tools, training and a host of
other tools directed at the unique needs of midsized clients.
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Discovery Capital Management, LLC (Discovery) is a SEC and CFTC Registered Investment Advisor Company founded in 1999 by
cofounder Rob Citrone. Discovery seeks high risk-adjusted total returns through investments in global equity, debt
and currencies with an emphasis on emerging market issuers.
Discovery employs a combination of a macro top-down analysis and a fundamental bottom-up security selection to detect
investment opportunities with attractive risk-return characteristics. Central to Discovery’s investment process are
completing local, in-country due diligence and risk management that helps preserve capital and manage volatility
across the investment portfolio.
Discovery’s investment process typically centers on specific themes within an economic region or individual country,
sector within a country, or sector in an economic region. Themes are represented by positions managed with feedback
received from Discovery's local due diligence activities, global board of advisors and extensive network of local
players.
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Established in 1898, Herbert L. Jamison & Co., L.L.C. has built a reputation as a dynamic risk management and
insurance brokerage firm. Over the years, we have developed an expertise in management and professional liability,
which complements our long-standing commercial, personal lines and benefits insurance capabilities. Jamison’s
culture, depth of staff and management philosophy put us in a unique position to assist our clients in appreciating
and addressing their risk management and risk transfer needs.
The professionals in our Alternative Investment Insurance Management Group understand the business risks you face in
managing your fund. This allows them to help you identify and analyze the attendant liability exposures you face
and fashion responsive risk management approaches. Our professionals also effectively communicate your organization’s
specific profile to the appropriate insurance underwriters and in this way obtain meaningful insurance solutions for
your firm’s consideration. Your organization should demand nothing less from your insurance professionals.
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The Firm
Gersten Savage LLP was founded in 1977. The firm is basically divided into three departments – Corporate, Litigation and Tax.
The corporate department is further divided into discrete areas which include Broker Dealer Formation and Regulation as well as Investment Management and Hedge Funds.
Broker Dealer Formation and Regulation
Gersten Savage regularly provides comprehensive legal services to a broad range of broker dealer entities, representing U.S.-based small, medium,
and regional investment banking firms, clearing firms, broker-dealer/investment, introducing firms, institutional investment firms, prime brokers,
independent research broker-dealers, and specialty boutiques.
Investment Management and Hedge Funds
Our Investment Management and Hedge Fund Practice helps establish and document domestic and offshore retail, institutional and international pooled
investment vehicles for distribution in the United States and abroad, including venture capital equity and debt, real estate and arbitrage funds.
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