Simon Riveles Panelist at the Infovest21 Seminar Entitled “Regulatory Update for Hedge Funds and Funds of Funds”

Simon Riveles Hedge Funds, SEC


On June 3, 2014, Infovest21, an information provider to hedge fund investors, managers, funds of funds, and service providers, sponsored a seminar at the Cornell Club in New York entitled “Regulatory Update for Hedge Funds and Funds of Funds.” The seminar featured an expert panel comprised of Simon Riveles of Riveles Law Group, Jillian Timmermans of compliance consulting firm, Cordium, and Gene DaCosta of international offshore law firm, Conyers Dill & Pearman. The panel answered questions on a variety of hot button topics and trends currently affecting the private fund industry, including:

• Recent trends in SEC examination, with a particular emphasis on the concerns of the Office of Compliance Inspections and Examination with respect to:

-Valuation Methodologies

-Expense Shifting

-Fee Shifting and Hidden Fees

-Conflicts of Interest in Personal and Affiliate Transactions

-The Cybersecurity Initiative for Investment Advisers

• The role of the Chief Compliance Officer, especially in light of the SEC Compliance Outreach Program National Seminar held on January 30, 2014

• The SEC sweep on ’40 Act funds, particularly in reference to the SEC’s Never-Examined Advisor Initiative announced on February 20, 2014

• Updates on FATCA compliance

• Recent trends in corporate governance

• Insider Trading 2.0, including:

-Recent case law

-Best Business Practices to Avoid Insider Trading

-The Role of Expert Networks and Consultants in Insider Trading

• Marketing issues in today’s regulatory environment, with an emphasis on:

-The JOBS Act

-Bad Actor Rules

-Marketing Offshore Funds

-Marketing Materials and Performance


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