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4/20/16 NY HF Luncheon
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Join us for the next round-table luncheon as we discuss, "The Nuts and Bolts of an Effective Compliance Program".

4/20/2016
When: Wednesday, April 20th
12:00-1:30 PM
Where: Arno Ristorante
141 West 38th Street
(Between 7th & Broadway)
New York, New York 
United States
Contact: Karyn Walsh
617-478-5188


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The Financial Executives Alliance: A First Republic Affinity Group
FEA New York Hedge Fund Networking Group
When?

Wednesday,
April 20, 2016
12:00-1:30pm

Lunch will be served.

Where?

Arno Ristorante
141 West 38th Street
(Between 7th & Broadway)

 
Questions?
Contact us:
Karyn Walsh
617-478-5188


An Affinity Group Event







 

 

Join us for the next round-table luncheon

as we explore:


The Nuts & Bolts of an
Effective Compliance Program

*Culture of Compliance, a Tone from the Top
*Annual Risk Assessment
*Code of Ethics Review
*MNPI/Forensic Review
*Hiring New Employees
*Conflicts of Interest
*Marketing
*Brokerage Arrangements & Trade Execution
*Regulatory Filings
*Quarterly Compliance Log


Presented by:

James Leahy
Partner
Orical LLC  


Vanessa Mander
Associate
Orical LLC



Moderated by:

Karen Weiss
CFO
Across Capital Management


                                                               

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