

|
|
|
Regulatory Compliance Association
|
|
|
Ernst & Young is a global leader in professional services.
We have over 100,000 professionals in more than 140 countries around the globe, who pursue the highest levels of
integrity and quality. The professionalism of our people provides our clients with services based on financial,
transactional, and risk management knowledge in our core offerings - assurance, tax, transactions, and advisory.
Our Asset Management Advisory Services practice brings an integrated team of professionals and skills to each client
we serve, bringing practical experience in asset management operations, project management, regulatory compliance,
and risk management. Our compliance team spans regulations and industries. Our regulatory engagements expand beyond
an identification of regulatory risks in the environment. We provide practical recommendations for remediation of
identified deficiencies and, if needed, have the skills needed to assist implementation.
|
|
|
Schulte Roth & Zabel LLP, with 400 attorneys, has offices in New York and London. Our practice areas include
investment management, business transactions, business reorganization, finance, structured products and derivatives,
tax, litigation, employment and employee benefits, real estate, intellectual property, environmental, individual
client services and pro bono.
SRZ represents a wide variety of mutual funds, closed-end funds and domestic and offshore private investment funds,
as well as investment advisers, banks and broker-dealers that provide services to funds. We provide creative,
effective assistance to clients in structuring innovative investment products, including registered hedge funds and
other alternative investment vehicles. SRZ also represents independent directors of mutual funds and provides the
full range of services required by fund groups, including fund registration, compliance, tax and ERISA matters, and
representation of fund clients in connection with investment adviser acquisitions and litigation.
|
|
|
Rothstein Kass is a professional services firm with nearly 50 years of experience. Always a believer in the value of
expertise, we continue to expand our capabilities across a range of interrelated disciplines, while extending our
reach across the country, and through strategic alliances, around the world. Rothstein Kass' Commercial Services
Group provides private and public businesses, and individuals and families, with a wide range of essential and
complementary professional services.
Our Financial Services Group provides services for many high-profile and
respected clients including alternative investments (hedge funds, fund of funds and private equity), broker-dealers
and registered investment advisors. Both start-ups and established entities benefit from our highly specialized and
expert staff entirely dedicated to this unique industry. Additionally, the Firm's Family Office Group provides
financial and administrative services to family offices, business owners and high-net worth individuals.
|
|
|
SEI is one of the largest independent outsourcing providers for alternative investments. SEI offers comprehensive
alternative investment administration, accounting, investor servicing, and online services to virtually all domiciles
including the U.S., Ireland, the Cayman Islands, Bermuda, BVI, and the Bahamas.
Our expertise and innovative technologies enable us to support the specific needs of hedge funds, funds-of-funds,
private equity funds and registered investment products. In addition, SEI’s sophisticated reporting capabilities,
customized compliance support and formalized thought leadership series help investment managers stay ahead of the
changing environment and focus on servicing their clients.
|
|
|
Hedgemony Partners is a global private equity firm that strategically invests in emerging and development stage managers
as well as distress opportunities within the alternative investment arena.
We evaluate hundreds of alternative investment management teams, firms and portfolios each year, across the globe, in all asset
classes. Our Investment Process, unique perspective and measured discipline yields only a few strategic investment opportunities
per year, which share our objective to generate uncommon, long term value.
Our Investment Structure delivers uncommon results by employing an optimal, time tested mix of institutional resources, oversight,
governance and infrastructure while preserving an Asset Manager’s autonomy, independent enterprise value and entrepreneurial spirit.
|
|
|
Maloy Risk Services, Inc. is a fifth generation owned and operated property and casualty insurance broker.
Since 1872, Maloy Risk Services has provided insurance risk management services to a global client base.
The firm, headquartered in Princeton, NJ with offices in New York City has built a reputation of excellence
within the insurance market place for securing the specific insurance needs of the hedge fund and private equity industries.
Market specialization has become paramount in the insurance industry. It is the only way to stay on top of the ever changing
complex policy language and cater to the very specific needs of each individual clients’ structure. Our ability to provide
unique coverage solutions comes from that specialization, years of policy negotiation, our insurance carrier market access,
knowledge of the hedge fund industry, and our commitment to service excellence.
Our specific areas of focus are the Directors and Officers, Professional Liability, Employment Practices and Crime Bonds.
We also focus on Worker’s Compensation by placing funds with larger payroll into dividend arrangements, greatly reducing their cost.
Maloy Risk Services has grown organically using technology, market specialization, and referrals; creating a truly unique brokerage
operation specifically for hedge funds and private equity.
|
|
|
Lowenstein Sandler is a nationally recognized corporate law firm with offices in Boston, New York, Palo Alto and Roseland,
with more than 275 attorneys providing a full range of legal services. The Firm’s commitment to its clients is demonstrated
through its client-centered, service-oriented culture. Lowenstein Sandler attorneys are regularly recognized for excellence
by clients and peers in national publications, including Best Lawyers in America, Chambers USA Guide to America’s Leading
Lawyers for Business and The Legal 500.
The Investment Management Practice at Lowenstein Sandler provides a full spectrum of services to its clients, which include
fund managers, investment advisers, administrators, broker-dealers, and institutional investors. The attorneys in the Investment
Management Practice represent leading hedge funds, private equity funds, venture capital funds, and other pooled investment
vehicles in connection with fund formation and organization, as well as securities, tax, regulatory, compliance and transaction
matters associated with their operations.
|
|
|
Finn Dixon & Herling LLP is a Stamford, Connecticut-based law firm that provides a broad range of legal services to
investment funds, investments advisers, third party marketers and broker-dealers. The firm’s Investment Management
practice group works closely with the firm’s other practice areas: Private Equity, Mergers & Acquisitions, Tax,
Lending/Finance, Employment, Bankruptcy and Litigation. The firm was founded in 1987.
The firm’s attorneys have represented hundreds of investment funds and investment advisers located throughout the U.S.,
Canada and Europe. Finn Dixon & Herling regularly assists clients in connection with: fund structuring; seed investment
transactions; fund offering documents; investment adviser, broker-dealer and CPO/CTA registrations; the development and
implementation of written compliance procedures; regulatory examinations; swaps and other derivative transactions;
distribution arrangements, compliance reviews of marketing materials; and employment agreements and other contract matters.
The firm approaches each client relationship on an individualized basis, taking into account specific client circumstances
as well as clients’ expressed needs and preferences.
|
|
|
Shearman & Sterling LLP (www.shearman.com) has been advising many of the world's leading corporations and financial
institutions, governments and governmental organizations for more than 130 years. The firm's Asset Management Group
offers a broad range of legal services to registered and unregistered funds and advisers, working with clients in
the United States and throughout the world from offices in New York, Washington, DC and London. The group includes a
prominent alternative investment practice, representing hedge fund managers, fund-of-funds managers and administrators,
and a derivatives team that provides structuring, documentation and transaction execution assistance on derivative
and structured products.
The Asset Management Group also provides tailored compliance-related services, assisting in the design, implementation
and testing of compliance programs, regulatory examinations, and, together with the firm's litigators, regulatory
enforcement and "pre-enforcement" defense.
|
|
|
Dechert is one of the pre-eminent law firms in the United States and Europe for its representation of funds and
advisors. Our more than 120 lawyers, based in offices throughout the United States and Europe, offer clients an
exceptional range and depth of services to mutual funds, investment advisors, broker-dealers, commodity trading
advisors, futures brokers, insurance companies, and many other clients in the investment world. The group is ranked
among the top law practices advising hedge funds, according to The American Lawyer and CogentHedge.
In 2004, 2005 and 2006, the group was named as one of the top investment practices in the United States by Chambers USA.
In Europe, we are noted by Chambers and Partners and The Legal 500 as a leading law firm counseling financial
services and investment funds.
|
|
|
From offices in the Cayman Islands, the British Virgin Islands, Dubai, Hong Kong, Jersey and London, the Walkers Group provides
legal and management services to the leading FORTUNE 100 and FTSE 100 global corporations and financial institutions, capital markets
participants, investment fund managers and growth and middle market companies.
The Walkers Group is comprised of leading offshore law firm, Walkers, fund services provider, Walkers Fund Services Limited and
special purpose vehicle and corporate services providers, Walkers SPV Limited, Walkers (Jersey) Limited and Walkers (BVI) Limited.
The Group's global presence means we are always open and accessible to our clients - in all time zones.
Walkers focuses principally on corporate and international finance law with an emphasis on capital markets and structured finance,
asset finance, hedge funds and private equity. The firm delivers clear, concise and practical advice based on an in-depth knowledge
of the legal, regulatory and commercial environment in the Cayman Islands, BVI and Jersey.
Walkers is also internationally recognized as having the premier distressed investment fund, insolvency and restructuring group in
the Cayman Islands with an experienced commercial litigation, private client and trust department as well as specialist, banking,
trust disputes, insurance and regulatory groups.
|
|
|
TurboCompliance works in concert with your lawfirm, CPA and compliance/operations personnel to automate your
regulatory compliance procedures as well as corporate governance and internal policy requirements.
Over the last 10 years, our alliance partners have found that TurboCompliance can reduce the compliance work load and
related costs by approximately 75 percent.
TurboCompliance installs a well organized internal control structure around the work flow of each business process
to deliver the following depth of compliance automation, in real time:
- Monitoring & supervising personnel
- Detecting or preventing incompliance
- Reporting up the chain of command
- Documenting all incompliance on each person's Compliance ScoreCardTM
- Censuring members of the firm based upon the firm's rule set
- Maintaining unique risk ratings for each act of non-compliance
- Preparing your annual review (SOX, GLB, NASD, SEC, HIPPA, FSA)
- Performing forensic testing, mock audits and trending
- Sustaining a constant state of readiness for an examination
- Satisfying SOX, GLB, NASD, SEC, HIPPA, FSA books and records requirements
RIMM in partnership with TurboCompliance, developed the Blackberry TurboCompliance platform which delivers the same
TurboCompliance functionality over the Blackberry, in real time.
|
|
|
|
|