SEC and Dodd-Frank Act Regulations Compliance: Emerging Issues and Practical Guidance
Overview:
The Dodd-Frank Act contains more than 90 provisions that require the SEC to adopt rules and dozens of other provisions that give the SEC discretionary rulemaking authority. To date, the SEC has proposed or adopted rules affecting, among other things, securities-based swaps, hedge funds, private fund advisers, executive compensation, and credit rating agencies. Because the Dodd-Frank Act affects almost every part of the U.S. financial services industry, compliance officers, corporate counsel, and other industry professionals must become versed in its key provisions.
In this LIVE two-hour web cast, regulators, lawyers, and other professionals will explain key aspects of the Dodd-Frank Act and its rules and will provide practical guidance for complying with those provisions.
Agenda:
SEGMENT 1:
Paula Drake, Chief Counsel, Office of Compliance Inspections and Examinations,
U.S. Securities and Exchange Commission
HIGH LEVEL OVERVIEW ON:
- Private equity& Private fund registrations – what Dodd Frank requires & SEC respon
- Title 7 requirements
- Whistleblower requirements
SEGMENT 2:
Jeff Thomas, Attorney,
Ruegsegger Simons Smith & Stern, LLC
- Dodd-Frank provisions relating to private equity and hedge funds, including registration exceptions, federal and state jurisdiction, recordkeeping and reporting, and client qualification.
- Dodd-Frank provisions relating to changes to SEC authority, including extraterritorial reach, aiding and abetting actions, and fiduciary duty for broker dealers.
SEGMENT 3:
David Berger, Manager,
Rothstein Kass
Dodd Frank provision Form PF
- Alignment of third party disclosures
- Implementing policies and procedures
SEGMENT 4:
Julie Herzog, Partner,
Schuchat, Herzog & Brenman, LLC
- New exchange listing standards regarding compensation committee independence and disclosure of consultant conflicts
- Shareholder approval of executive compensation and “golden parachute” compensation arrangements and “say on pay” vote frequency including elimination of broker discretionary voting on executive compensation matters
- Revised definition of “accredited investor” for exempt offeringss
SEGMENT 5:
Michael MacPhail , Partner ,
Faegre Baker Daniels
- Collateral Consequences of Settlement: Rule 506/FINRA Disqualification
SEGMENT 6:
Luke Zubrod, Director, Risk and Regulatory Advisory,
Chatham Financial
- New CFTC derivatives regulations requiring board involvement and updates to transaction documentation; implications for transaction process and timing
- Key open issues related to derivatives regulation: financial entity definition, margin requirements for uncleared swaps, margin requirements for FX forwards
- The impact of new regulatory requirements on hedging decisions
Who Should Attend:
- Compliance Officers
– Investment Advisors & Executives
– Banks and Financial Institutions’ Executives
– Attorneys
– General Counsel
– Business Lawyers
– Senior Managers
– CFOs & Related Finance Executives
– Bank Regulation Lawyers
– Finance Lawyers
– Chief Risk Officers
– And Other Related Professionals
Paula Drake joined the Securities and Exchange Commission as the Associate Director, Chief Counsel and Chief Ethics Officer of the …
Jeffrey Thomas focuses his practice on representing clients in a variety of securities-related matters, including investigations by the SEC and …
David is a Manager in the Business Advisory Services Group at Rothstein Kass in the New York office. He focuses …
Ms. Herzog leads SH&B’s corporate/securities practice. She has handled transactions valued at over $3 billion for major public companies and …
Michael MacPhail focuses his practice on defending clients in investigations and litigation before securities industry regulators including the U.S. Securities …
Luke Zubrod, Director of Risk and Regulatory Advisory for public and private companies on OTC regulations. Luke has been in …
Course Level:
Intermediate
Advance Preparation:
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
Prerequisite:
NONE
Course Code:
134417
NASBA Field of Study:
Accounting
NY Category of CLE Credit:
Total Credits:
2.0 CLE
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SPEAKERS' FIRMS:
Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
About Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
About Ruegsegger Simons Smith & Stern, LLC
Ruegsegger Simons Smith & Stern, LLC is a full-service law firm in Denver, Colorado. The firm prides itself on providing its clients with individualized attention and exceptional value.
Website: https://www.rs3legal.com/
About Rothstein Kass
Rothstein Kass provides audit, tax, accounting and advisory services to hedge funds, funds of funds, private equity and venture capital funds, broker-dealers, and registered investment advisors. The firm is recognized internationally as a top service provider on a wide range of organizational, operational and regulatory issues, and recently was recognized by Hedge Funds Review as the top accounting and auditing firm in the nation. The firm also advises on fund structure, both inside and outside the United States, compliance and financial reporting, and tax issues from a federal, state, local and international compliance perspective.
In addition, Rothstein Kass Business Advisory Services, LLC (an affiliate of Rothstein Kass), provides value-added and results-oriented consulting services in the areas of strategy, operations, technology, risk, compliance, dispute resolution and investigations.
Rothstein Kass has offices in California, Colorado, Massachusetts, New Jersey, New York, Texas and the Cayman Islands.
Website: https://www.rkco.com/
About Schuchat, Herzog & Brenman, LLC
Schuchat, Herzog & Brenman is a boutique law firm in Denver that offers a broad range of capabilities in a relationship-oriented environment. With the expertise they have gained from years of working in some of the country’s largest law firms, and the practical business sense they have gleaned from owning and running businesses, they have the skill, competence and know-how to work with a diverse range of clients on their simplest to most complex needs at reasonable rates.
The corporate/securities department has extensive experience in structuring and organizing legal entities from start-up companies to multi-national joint ventures and has represented businesses in complex securities regulation and compliance matters, financings, mergers and acquisitions, reorganizations and management buyouts.
Website: https://www.shblegal.com/
About Faegre Baker Daniels
Our more than 750 legal and consulting professionals provide the depth and breadth of expertise necessary to solve complex business challenges.
From U.S. locations in Boulder, Denver, Chicago, Fort Wayne, Indianapolis, South Bend, Des Moines, Minneapolis and Washington, D.C. to international locations in Beijing, Shanghai and London, we serve clients in every U.S. state and more than 100 countries.
Our legal expertise includes business and corporate services, environmental law, finance and restructuring, government services, intellectual property, labor and employment, litigation, real estate, construction, regulatory law, tax, wealth management and much more.
Website: https://www.faegrebd.com/index.aspx
About Chatham Financial
Chatham Financial is an independent advisory services and technology firm specializing in hedge accounting, interest rate, FX and commodity risk management. Chatham’s expertise combined with our proven technology empowers clients to strategically direct risk management programs to fit their needs.
Founded in 1991, Chatham serves over 1,000 companies annually, with our practitioners bringing deep derivatives and complex regulatory knowledge to our clients. Our global team of risk management professionals, CPAs, quantitative analysts and software developers provide clients with the tools and confidence required to successfully manage risk.
Website: https://www.chathamfinancial.com/