Moss Adams Event on September 26, 2011
On September 26, 2011 Bart Mallon, co-managing partner of Cole-Frieman & Mallon LLP, is scheduled to speak on a panel with respect to recent regulatory issues affecting asset managers. The panel is entitled “Dodd-Frank and the Impact on the Asset Management Business” and also features David E. Tang, a partner at Sidley Austin LLP, and will be moderated by Bryan Cartwright of Moss Adams.
While we do not yet know the exact topics for the panel, there has been a number big picture issues which will affect fund managers over the next several months. Some of these issues include:
- Investment Adviser Registration
- New Form PF
- Insider Trading / Expert Networks
- Form 13H – Large Trader Reporting Requirements
- Use of Social Media
- General Dodd-Frank Initiatives
After the event we will
provide a review of the major items discussed during the panel. An overview of the conference is reprinted below and more information can be found here.
9:00 a.m. – 5:00 p.m. PT
San Francisco, CA
What’s happening in the investment community now, and where are asset management companies headed?
Join Moss Adams LLP, Arizona State University emeritus professor Dr. Stephen Happel, and US Bancorp former chief economist John Mitchell for an economic update. We’ll also discuss a range of issues and developments affecting broker-dealers, RIAs, hedge funds, and asset managers. Topics will include:
- Impact of the Dodd-Frank Act
- Retention and succession
- Producing superior AUM growth
- Transaction and advisory activity
- Accounting and auditing roundup
Alongside our annual Community Banking Conference, this event will provide you an opportunity to network with banking professionals during lunch and at our joint reception.
Cole-Frieman & Mallon LLP is a hedge fund law firm which provides comprehensive formation and SEC/CFTC regulatory support to start-up and established hedge fund managers. Please contact us if you have any questions.