Asset Mgmt: Strategies for Avoiding Trouble With the SEC

Presented by

Bruce Karpati, John Reed Stark, Bradley Bondi

About this talk

In January 2010, the SEC established a specialized unit within its Enforcement Division devoted to the area of Asset Management. A year later, this unit has delivered a number of enforcement actions involving investment advisers, investment companies, and other types of private funds. In this webcast, Bruce Karpati, the co-head of the SEC’s Asset Management unit since its inception, will discuss his unit’s successes over the past year, and what it is currently prioritizing and pursuing. He will be joined on the panel by John Reed Stark, Managing Director of Stroz Friedberg and former Chief, SEC Office of Internet Enforcement; and Bradley J. Bondi, a litigation partner at Cadwalader, Wickersham & Taft LLP and former counsel to SEC Commissioners Troy Paredes and Paul Atkins for enforcement matters. The panel will: •Analyze the hot areas of enforcement in the asset management area, including valuation, conflicts of interest, disclosure of trading strategy, performance, insider trading, and controls for quantitative investment managers; •Review the implications of Dodd-Frank for asset management firms, with a focus on its technological requirements and ramifications; and •Provide an overview of the best practices in the asset management area for ensuring compliance with federal securities laws, with a focus on insider trading compliance, appropriately using expert networks, addressing conflicts of interest, and providing adequate disclosures to investors.

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