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Events
The IMS Group's Regulatory Forum - January 2012
25th January 2012, 2.30pm-6.30pm, Bloomberg's London Office, City Gate House, 39-45 Finsbury Square, EC2A 1PQ
The IMS Group’s Regulatory Forum will educate and prepare investment firms for what lies ahead in 2012 and beyond by initiating discussions amongst industry experts and attendees on the key regulatory occurrences in terms of their proximity and precedence while also airing and sharing some pragmatic solutions to them.
Industry experts will include The IMS Group’s staff, regulators, leading regulatory lawyers and executives of leading trade bodies.
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IMS breakfast seminar - SEC Private Fund Registration: What to do next?
14th July 2011, 8am-10am , Westbury Hotel
IMS invites you to a breakfast seminar 'SEC Private Fund Registration: What to do next?' on 14th July 2011. An SEC open meeting on the 22nd June 2011 is expected to decide on the final implementation rules and timetable. IMS’ breakfast seminar will explain the outcomes of the open meeting, the key developments in the registration requirements for non US fund managers, and set out a pathway for firms to come into compliance by the new SEC deadline. The seminar will be led by IMS' Director of Project Consulting and SEC implementation manager, Jon Wilson and IMS' Head of US office, Micah Taylor.
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Dodd-Frank: The Global Implications for the Private Fund Industry: Live Web Seminar
4pm GMT/11am ET/8am PT (Live Web Seminar)
The Dodd-Frank Wall Street Reform and Consumer Protection Act signed July 2010, has direct implications for the private fund industry globally. Although a senior official at the SEC has indicated that the compliance date may be delayed until first quarter 2012, the yet-to-be-proposed rules are expected to clarify which private funds may be eligible for exemption from the registration requirement. Join Jonathan Wilson, Director of Project Consulting of The IMS Group and Elizabeth Cope, Managing Member of Focus One as they discuss these implications and provide practical guidance to ensure that your firm is prepared.
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Senior Management Obligations and Effective Corporate Governance
12th May 2011, AM - New York
On the 24th of September 2010, the FSA released Policy Statement 10/15 on “Effective corporate governance (Significant influence controlled functions and the Walker Review)”. This policy statement revised the definitions for certain current Significant Influence Functions (“SIF”) under the approved persons' regime as well as introducing a number of new SIF roles.
This training session will assist current and new SIFs to understand their enhanced personal obligations and applicable regulatory requirements generally. It will also address how collectively, SIFs - as part of the Firm’s governing body - need to implement an effective corporate governance structure within their authorised firm.
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Compliance Induction UK - Working Under the FSA Regime
12TH May 2011, PM - New York
The compliance for Wholesale Investment Firms 1/2 day training course focuses on those areas of regulation and compliance that are of greatest relevance to staff as they conduct their roles and responsibilities. This is a departure from many ‘traditional’ training courses which provide a generic overview based on a syllabus.
Overview
- Specific focus on regulatory issues relating to hedge funds
- Each course is tailored to reflect the roles and responsibilities of the attendees
- Maximum of 12 attendees per session
- Can be used to demonstrate ‘competence’ of UK regulatory knowledge in accordance with the FSA’s rules and expectations
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Jonathan Wilson, Director of Project Consulting, speaks to MBA students about Regulation in the Hedge Fund industry
8th March 2011 - Melia White House, Regents Park
IMS has been invited to speak to over 60 MBA students at Meliá White House in Albany Street, Regents Park as part of the Global Wharton Initiative. This initiative is organised by The Wharton School of the University of Pennsylvania and aims to teach students about new market and management phenomena in various countries around the world. This is the first session to be held in Europe and the topic will be “Finance in Europe”. Jonathan Wilson, Director of Project Consulting at IMS, will be speaking at the event and will cover the following topics: Typical Hedge Fund structure, UK legislative framework and FSA supervision, AIFMD and Dodd-Frank.
Another date added for 'SEC Registration Seminar: The Who, What and How' by SEC expert Peter Ambrosini
13th January 2011 - Westbury Hotel
Following the success of its inaugural Dodd-Frank briefing, IMS is offering clients and friends of IMS another opportunity to hear its SEC compliance expert Peter Ambrosini talk on this subject in January, 2011.
This second briefing will address the same issues as November’s but will also bring attendees up to date on the SEC rule-making process which by that time may have provided more clarity on the application of the registration requirements and also the resulting obligations.
