The registration of advisers to hedge funds continues to be a hot topic in Washington. With new regulatory initiatives on the horizon and heightened scrutiny during SEC examinations, it is essential to know what to expect and how to prepare. During this panel, we will focus on the latest hot topics facing hedge funds with an emphasis on the latest best practices.
This webcast, presented by the NSCP and West LegalEdcenter will cover the following areas:
- Hedge Fund Adviser Registration - What, When & How
- Due Diligence - Investor & Regulatory Concerns
- How to Effectively Promote your Hedge Funds
- Fundamentals for Establishing an effective Hedge Fund Compliance Program
Current Regulatory Focus for the Hedge Fund Industry
The panelists include:
Mark Polemeni - Chief Legal Officer & Chief Compliance Officer, Alexandra Investment Management, LLC
Mr. Polemeni joined Alexandra Investment Management in 2005 as Chief Legal Officer and Chief Compliance Officer. He oversees all of the firms legal, regulatory and compliance matters. Prior to joining Alexandra, Mr. Polemeni was a partner in the Corporate and Securities Group in Epstein Becker and Green, P.C.s New York Office.
He is a member of the New York State Bar Associations Committee on Securities Regulation, as well as the Hedge Fund Advisory Committee (HFAC) of the Managed Funds Association (MFA). Mr. Polemeni served as a Steering Committee Member for the MFAs Chief Compliance Officer Forum, and is an editor of recent editions of the MFAs Sound Practices for Hedge Fund Managers. He was named one of the 20 Rising Stars of Compliance throughout the United States and the United Kingdom in the 2007 edition of Institutional Investor News.
Mr. Polemeni is a frequent speaker at industry events and is often quoted in industry publications. He received his B.A. from Georgetown University in 1988 and his J.D. from Georgetown University Law Center in 1991.
Michelle L. Jacko - Managing Partner, Jacko Law Group, PC
Michelle L. Jacko, CSCP is the Founder and CEO of Core Compliance & Legal Services, Inc., a compliance consultation firm which offers compliance services to broker-dealers, registered investment advisers, hedge/private funds, banks, investment companies, and financial professionals. In addition, Ms. Jacko is Managing Partner and CEO of Jacko Law Group, PC, a securities law firm which offers securities and general corporate legal services on a nationwide basis.
Ms. Jacko specializes in investment adviser, broker-dealer and private fund formations, regulatory compliance, mergers and acquisitions, operational risk management, and business transitions, with emphasis on securities regulations. Her consultation practice is focused on the areas of policies and procedures, testing of compliance programs (including evaluation of internal controls and supervision), performance advertising, soft dollar arrangements, best execution, separation agreements and much more. In 2006, Ms. Jacko was named as a Top 20 Rising Star for "Who's Who" in Upcoming Compliance Professionals by Compliance Reporter magazine. Previously, Ms. Jacko served as Of Counsel at Shustak & Partners, PC. Prior to that, she was Vice President of Compliance and Branch Manager of the Home Office Supervision team at LPL Financial Services, Corporation (Linsco/Private Ledger).
Ms. Jacko also served as Legal Counsel of Investments and Chief Compliance Officer at First American Trust, FSB and held the position of Compliance Manager at Nicholas-Applegate Capital Management. In addition, Ms. Jacko was with PIM Financial Services, Inc., and Speiser, Krause, Madole & Mendelsohn, Jackson. Ms. Jacko received her J.D. from St. Mary's University School of Law and B.A., International Relations, from the University of San Diego. She is admitted to the State Bar of California and United States District Court, Southern District of California. Michelle is a board member for the National Society of Compliance Professionals (NSCP), holds NSCP's Certified Securities Compliance Professional (CSCP) designation, and serves as Chairperson of NSCP's Strategic Development Committee.
Michelle frequently authors industry articles and presents at conferences throughout the nation. She is Speakers Bureau Chair for and co-founder of the Southern California Compliance Group and is involved in the American Bar Association (Business Law Section), State Bar of California, and San Diego County Bar Association where she serves on its Business Law Section Advisory Board. She also is a Member of the FINRA Board of Arbitrators.
If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance. Credit totals for other formats are for complete programs. Partial credit is not available for any online or downloadable format.
West LegalEdcenter will not provide accreditation for states not listed.
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