03/12/08
NRS Investment Adviser Compliance Training, New York
Presentation | Speech
Christopher Menconi
03/19/07
Disclosure Issues in Connection with Side Pockets and Side Letters, presented at West Legalworks New Frontier in Hedge Fund Due Diligence, New York
Presentation | Speech
Steven Stone
03/13/07
Developing and Administering Your Firm-Wide Code of Ethics, presented at the Second Annual Chief Compliance Officer Workshop, New York
Presentation | Speech
Dianne Sulzbach
03/05/07
SEC Regulatory Update, presented at ETF Evolution 2007: Changing the Landscape, New York
Presentation | Speech
W. McGuire
02/26/07
Implications of Reg NMS on Best Execution for Broker/Dealers and Investment Advisers (moderator), presented at FRA's 5th Annual Best Execution Symposium, New York
Presentation | Speech
Theodore Lazo
02/14/07
The Anatomy of a Deal: Dissecting the Bio-Bucks, presented at the BIO CEO and Investor Conference, New York
Presentation | Speech
Randall Sunberg
01/30/07
Best Execution and Brokerage Practices, presented at the 7th Annual IA Compliance Forum, New York
Presentation | Speech
Steven Stone
01/23/07
Understanding Governance in IT Shared Services and Outsourcing: Legal, Illegal and Plain Old Arm-Twisting, presented at the IT Governance Summit 2007, Coconut Grove, FL
Presentation | Speech
Akiba Stern
01/17/07
A Plan for an Annual Compliance Review & Keeping Ahead of the Regs, presented at the FRA's 2nd Annual Best Practices for Conducting the Required Annual Compliance Review for Investment Advisors, New York
Presentation | Speech
Steven Stone
11/15/06
Monitoring, Managing, and Retaining Email and Other Electronic Activity to Comply with Advisors Act, presented at the 3rd National Forum on Hedge Fund Compliance, New York
Presentation | Speech
P. Georgia Bullitt
11/03/06
Legal Requirements of Outsourcing, presented at the Institute for Supply Management New York/New Jersey 6th Annual Conference, Binghamton, NY
Presentation | Speech
Restituto Yuson, III
11/02/06
A Survey of the Regulatory Landscape Using Past Precedent to Avoid Possible Pitfalls, presented at the ING Variable Annuities Regulatory Forum, New York
Presentation | Speech
E. Andrew Southerling
11/02/06
IA and Investment Company CCOs, presented at the Investment Advisor Association's Compliance Workshop (multiple cities)
Presentation | Speech
P. Georgia Bullitt
11/01/06
HRO Meets the Real World: Reality, Truths, Myths, and Legends, presented at the Human Impact of Outsourcing Symposium, The Wharton School, University of Pennsylvania, Philadelphia
Presentation | Speech
Edward Hansen
10/24/06
New Rules of the Road for Brokers Offering Investment Advice, presented at the FRA's Dual Registrant Symposium, New York
Presentation | Speech
Steven Stone
10/24/06
Outsourcing — Negotiating the Tough Provisions, presented at the Association of Corporate Counsel 2006 Annual Meeting, San Diego
Presentation | Speech
Edward Hansen
