Hot Topics in National Futures Association Audits 2014
Overview:
In this two hour live webcast, The Knowledge Group organized a panel of thought leaders and professionals that will provide an in-depth discussion on the latest trends and issues with regards to the National Futures Association audits.Some of the major topics that will be covered in this course are:
- Frequency of NFA Audits
- How to Prepare for an Audit
- Practice Tips for During and After the Audit
- Areas of Focus
- Common Deficiencies on NFA Audits
- Latest issues and trends
Agenda:
SEGMENT 1:
Deborah A. Monson, Partner
Ropes & Gray LLP
- Introductory How to Prepare for an Audit
- Practice Tips Before, During and After the Audit
- Areas of Focus
SEGMENT 2:
Heather Wyckoff , Counsel
Haynes and Boone LLP
- Compliance Manuals How to Prepare for an Audit (especially re: written policies and procedures manuals)
- Areas of Focus
- Common Deficiencies on NFA Audits
SEGMENT 3:
Robert V. Cornish, Jr., Partner
Phillips Lytle LLP
- NFA audit issues for firms that also conduct business as broker-dealers and RIAs
- How different lines of business can create issues during audits
SEGMENT 4:
Dorothy D. Mehta, Special Counsel
Cadwalader, Wickersham & Taft LLP
- Recent CFTC no action letters and impact on NFA audits
Who Should Attend:
- Auditors
- Accountants
- Attorney
- Executives
- Audit Partners
- Audit Committee
- Audit & Compliance Executives from Government Contractors
- Other related/interested professionals
Deborah Monson focuses her practice on commodities law, asset management and private investment funds. Debbie has represented registered and exempt …
Robert V. Cornish Jr. is a partner with Phillips Lytle LLP and focuses his practice on litigation, arbitration, regulatory and …
Dorothy D. Mehta is Special Counsel in the Firm’s Financial Services Department, concentrating her practice on alternative investment matters. Ms. …
Heather Wyckoff is Counsel in the Investment Funds and Private Equity Practice Group in the New York office of Haynes and …
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
Prerequisite:
NONE
Course Code:
144822
NASBA Field of Study:
Auditing
NY Category of CLE Credit:
Areas of Professional Practice
Total Credits:
2.0 CLE
2.0 CPE (Not eligible for QAS (On-demand) CPE credits)
Login Instructions:
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SPEAKERS' FIRMS:
About Ropes & Gray LLP
Increased regulatory oversight, the growth in hybrid and other sophisticated investment products, and new investor expectations all bring greater complexity to today’s asset management industry. At Ropes & Gray, clients find a global team of more than 1,100 professionals whose top-notch skills, varied backgrounds and unique perspectives can help them meet high-stakes challenges, solve complex problems and reach their goals. More than 140 attorneys worldwide serve clients in the asset management and investment funds industries with every issue they might face, including fund formation and ongoing operations, regulatory and compliance issues, derivatives and commodities, securities litigation, government enforcement, and tax, ERISA, and special situations matters. Many of the industry’s most respected institutions are longtime clients. We also serve clients at all stages of the business life cycle, from start-ups to established industry leaders. The firm has 11 offices worldwide and has consistently been recognized for its leading registered funds, private investment funds and hedge funds practice groups, and its practices in many other areas. For more information, please visit www.ropesgray.com.
Website: https://www.ropesgray.com/
About Phillips Lytle LLP
Phillips Lytle LLP is a premier regional law firm that is recognized nationally for its legal excellence. With offices in New York State, Washington, DC, and Canada, our attorneys serve a multinational client base including FORTUNE 1000 companies, global and regional financial institutions, not-for-profit organizations, middle market companies, startups, entrepreneurs and individuals on important matters affecting their businesses and personal wealth.
Website: https://www.phillipslytle.com/
About Cadwalader, Wickersham & Taft LLP
Established in New York in 1792, Cadwalader, Wickersham & Taft LLP is a leading advisor to corporations and financial institutions, providing innovative solutions to complex legal issues. With offices in strategically located financial and governmental centers, the firm is well positioned to offer top-flight services to clients conducting business across the globe.
Website: https://www.cadwalader.com/
About Haynes and Boone LLP
Haynes and Boone, LLP is an international corporate law firm with offices in Texas, New York, California, Washington, D.C., Shanghai and Mexico City, providing a full spectrum of legal services. With more than 500 attorneys, Haynes and Boone is ranked among the largest law firms in the nation by The National Law Journal and has been named winner of a 2013 Thomas L. Sager Diversity Award by the Minority Corporate Counsel Association.
Website: https://www.haynesboone.com