Events & Publications: Alaric Compliance Services

The Dodd-Frank Act: Implications for Hedge Funds and Private Equity Firms and Steps to Implementation

When: September 29th from 1-2pm EST

The passage of the Dodd-Frank Act will dramatically change the regulatory rules governing hedge fund and private equity managers and other alternative investment firms. Many hedge fund and private equity firms will be required to register with the SEC as an investment adviser, subjecting them to mandatory oversight by the SEC.

Complying with the Dodd Frank Act goes beyond registering with the SEC; it is about making the right decisions for your firm in relation to resourcing and building your ongoing compliance program commensurate with your firm's needs and with the SEC's requirements.

On September 29th, please join Brian Fahey CEO of TerraNua and Guy Talarico CEO of Alaric Compliance Services to learn about the new law and to hear some ideas that will help you evaluate the impact on your business, including steps to implementing a compliance program.

The Webcast will cover the following topics:

(1) Overview of legislation and how it impacts newly registering hedge fund and private equity firms.
(2) Steps your firm should be taking to prepare.
(3) Options for operating and resourcing your compliance program.

Click Here to Register

Speakers

Guy F.Talarico CEO Alaric Compliance Services:

Guy is the founder and CEO of Alaric Compliance Services LLC, one of the nation's leading compliance consulting firms. Mr. Talarico has over 28 years of experience in the financial services industry and serves as the Chief Compliance Officer to various Registered Investment Advisers and Registered Investment Companies. Alaric Compliance Services offers a broad range of compliance consulting services including outsourced chief compliance officers, to NFA, CFTC, FINRA, and SEC registered firms, as well as unregistered investment advisors. Mr. Talarico served three terms in the New Jersey State Assembly, he holds a BS ChE from Lehigh University, an MBA from Fairleigh Dickinson University and a JD from New York Law School. He is admitted to practice in New York and New Jersey.

Brian Fahey CEO TerraNua Ltd:

Brian is the CEO of TerraNua, the compliance solution services and software firm. He has more than 21 years of IT solutions and experience delivering complex business technology solutions for investment management firms. The MyComplianceOffice solution designed by Brian is revolutionizing how compliance is maintained and monitored by small and mid size firms investment firms. The solution enables the firms to implement compliance operations commensurate with SEC's expectations but at a significantly more reasonable cost than compliance methods historically have.