Regulation, Operations & Compliance (ROC) Cayman 2014
The SEC's Aberrational Performance Initiative sparked the examination of a Fund Manager, which escalated into a full-scale investigation. The Asset Management Unit identified several internal controls failures that caused the overvaluation of fund assets and inflated fees.
Consequently, the SEC fined the Fund Manager nearly $9,000,000 and imposed several other requirements and restrictions upon the firm.
Reputational Risk continues to escalate within the new paradigm of Regulation, Compliance, Reporting and Enforcement. In order to protect your firm, the RCA's Cayman Symposium offers an unprecedented 3-day opportunity to obtain exclusive insights and network with the RCA's JD & LLM Faculty, which includes:
The 4 Former SEC Commissioners – the largest collection ever assembled outside the confines of the SEC's DC Headquarters;
The Premier of the Cayman Islands Government; Honorable Alden McLaughlin, M.B.E., J.P., M.L.A;
The Head of Cayman Islands Monetary Authority, Cindy Scotland, Managing Director;
The "Weavering case" Judge – Hon. Andrew Jones, QC,The largest collection of Federal Prosecutors, Investigators and Regulators;
15 examination and enforcement driven case studies; and
2 Hours of confidential CCO, GC, and COO round-tables.