IAA Investment Adviser Compliance Conference 2012 in Arlington, VA on March 8th and 9 at the Crystal Gateway Marriott. Alaric Compliance Services will be a sponsor and exhibitor (Booth 7). For more information see the conference brochure or go to www.investmentadviser.org.
February 2011
Case Studies in Operational Risk Management Master Class presented by the Global Association of Risk Professionals (GARP) in New York City on February 27, 2012 at the Marriott Marquis Hotel. Guy Talarico CEO and Founder of Alaric Compliance Services will be a featured speaker on the topic of "Improving Data and Compliance Efficiency". For more information or to register for the forum please go to www.garp.org.
January 2012
Managed Funds Association Network 2012
Alaric Compliance Services is a Sponsor of this year's MFA's Network Conference January 29 - 31, 2012 at The Breakers, Palm Beach Florida. To learn more go to http://network.managedfunds.org/.
November 2011
MFA's Inaugural Regulatory Compliance Conference
Alaric Compliance Services is a sponsor of the MFA's Inaugural Regulatory Compliance Conference on November 30, 2011 at The Princeton Club, New York, NY. Register for Event. You may obtain a discount on the registration fee using promo code: SPDISMC12.
October 2011
US Regulatory Forum presented by the Global
Association of Risk Professionals (GARP) in New York City on October 11,
2011 at the Marriott Marquis Hotel. Guy
Talarico CEO and Founder of Alaric Compliance Services will be a featured
speaker on the topic of the Dodd-Frank Act, "A Word to the Wise: New Recordkeeping,
Reporting Requirements and Advisor Regulations." For more information or to register
for the forum please go to www.garp.org.
September 2011
2nd Hedge Fund Risk Management Event presented
by Professional Risk Managers' International Association (PRMIA) in
collaboration with Alternative Investment Management Association (AIMA) Canada
and Chartered Alternative Investment Analyst Association (CAIA) Canada will be
held on September 20, 2011, in Montreal, Quebec.
Guy Talarico CEO and Founder of Alaric
Compliance Services will be featured as a
panelist on the "Impact of Dodd-Frank Act on Asset Managers in the US Market." For
more information please contact Montreal@primia.org.
November 2010
The Hedge Fund Compliance Summit presented by Financial Research Associates and the Hedge Fund Business Operations Association on November 15th and 16th, 2010 will be sponsored by Alaric Compliance Services. Guy Talarico, CEO and Founder of Alaric Compliance Services will be featured as a panelist for the Marketing and Advertising Compliance Update. To register for the event, which will be held at The Princeton Club, New York City please call 1-800-280-8440 or visit www.frallc.com.
September 2010
On Line Seminar: The Dodd-Frank Act: Implications for Hedge Funds and Private Equity Firms. The passage of the Dodd-Frank Act will dramatically change the regulatory rules governing hedge fund and private equity firms. On September 29, 2010 from 1 to 2pm EST, please join Guy Talarico, CEO of Alaric Compliance Services and Brian Fahey CEO of TerraNua to learn more about the new law and to hear some ideas that will help you evaluate the impact on your business. To register, please click here.
The 6th Annual Marketing & Advertising Compliance Forum for Investment Advisors, Maximize the Benefits of Compliant Advertising Practices will be sponsored by Alaric Compliance Services on September 16 and 17, 2010 at The Princeton Club, New York City. Guy Talarico, CEO of Alaric Compliance Services will be featured as a panelist for Hedge Fund Marketing for Investment Advisors: the Impact of New and Impending Legislation. for more information, please call Financial Research Associates at 800-280-8440 or visit the www.frallc.com website.
November 2009
Hedge Funds: Recognizing the Importance of Operational Risk: Sponsored by Moody's Tuesday, November 17, 2009, New York, NY. Panelist: Guy F. Talarico. For more information on this event, please visit www.moodys.com/events.
October 2009
MFA's Inaugural Hedge Fund Leadership Conference, Outlook 2009, Oct. 15-16, New York, NY. Sponsor: Alaric Compliance Services, LLC. For more information, please visit www.managedfunds.org/outlook2009.
National Society of Compliance Professionals, National Conference, Philadelphia, PA. Speaker: Joseph McDermott
September 2009
CCO Roundtable hosted by Alaric Compliances Services, New York, New York. Guy F. Talarico
June 2009
Alaric Compliance Services celebrates 5th Anniversary of the firm, New York, New York.
National Society of Compliance Professionals, Midwest Regional Conference. Chicago, IL. Speaker: Joseph McDermott
February 2009
Chief Compliance Officer (CCO) Roundtable hosted by Alaric Compliance Services, New York, NY. Guy F. Talarico
December 2008
ABS/MBS Derivatives and Index Products - Concepts and Topics, ASF Securitization
Institute, New York, NY. Instructor: Christopher Lewis
October 2008
National
Society of Compliance Professionals, National Conference. Philadelphia,
PA. Speaker: Joseph McDermott
September 2008
Structured
Credit in Distress, Distressed Debt Investing & Risk Management:
Navigating the Post-Subprime World Summit. Las Vegas, NV. Moderator: Christopher
Lewis
5th
Annual Marketing and Advertising Compliance Forum for Investment Advisors,
sponsored by Financial Research Associates LLC. New York, NY. Speaker:
Guy F. Talarico
May 2008
Jamison/Alaric Operational Risk Seminar for Hedge Funds. Chicago, IL. Speaker: Joseph McDermott
April 2008
The
Basics of Credit Derivatives - The Hows and Whys, Financial Research Associates'
Derivatives 101/102, Investor and Hedge Fund Risk Summit. New York,
NY. Panelist: Christopher Lewis
March 2008
Jamison/Moody's
Operational Risk Seminar for Hedge Funds. New York, NY. Speaker: Joseph McDermott
Investor and Hedge Fund Risk Summit, sponsored by On Point Conferences, New
York, NY. Speaker: Guy F. Talarico
The article offers some practical advice for unregistered and registered advisers in light of the recent financial reform legislation, the Dodd-Frank Act.
The recent flurry of financial reform legislation will result in mandatory SEC registration for investment advisers to hedge fund and private equity funds above specified asset levels and will lead to additional SEC oversight, reporting and regulation of current registrants. The time to begin constructing an effective compliance program is now.
The CCO must have a thorough understanding of regulatory requirements
and stand firm in the face of challenge, especially when what is "right"
is the subject of debate and interpretation.
"An effective outsource provider will be fully aware of the issues
of proximity and competing commitments, and of the consequences of failing
to meet a firm's compliance requirements."
