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Shedding Light on the Exam and Enforcement Landscape Under the Trump Administration


Level: Advanced
Runtime: 65 minutes
Recorded Date: October 05, 2017
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Agenda

  • Setting SEC priorities for Exams and Enforcement
  • Highlights FY 2017, impact on FY 2018
  • Notable risk alerts
  • Notable cases
  • FY 2018 priorities
  • Chairman Clayton
  • Exam priorities
  • Enforcement cases
  • Impact on in-house counsel and compliance staff
Runtime: 1 hour and 5 minutes
Recorded: October 5, 2017

Description

As we approach the one-year mark of the Trump administration, what has changed and how are hedge funds being impacted? The panelist will dig through to answer what the latest SEC mandates, goals and regulatory priorities are? What to expect from the SEC & NFA exams and enforcement actions under the new administration.

This program was recorded on October 5th, 2017.

Provided By

ALM Events
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Panelists

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Kevin Kelcourse

Associate Director for the Office of Compliance Inspections and Examinations
Securities Exchange Commission (SEC)

Kevin M. Kelcourse is the Associate Director for the Office of Compliance Inspections and Examinations (“OCIE”) at the U.S. Securities & Exchange Commission's Boston Regional Office, where he leads a staff of over 70 who conduct inspections and examinations of investment advisers, investment companies, broker-dealers, and other registered entities in New England. Before becoming Associate Director, Kevin worked for the Commission’s Division of Enforcement for over 15 years, the last four and a half as an Assistant Director in the Division’s Asset Management Unit, where he investigated and litigated various matters involving violations or potential violations of federal securities laws. During his 17 years at the SEC, he has worked on a wide variety of matters, including hedge funds, mutual funds, investment advisers, insider trading, financial fraud, and municipal securities

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Irshad Karim

Counsel & Compliance Officer
Lion Point Capital

Irshad Karim is Counsel and Chief Compliance Officer at Lion Point Capital where he is responsible for all legal, regulatory and compliance matters. Since 2006, Irshad has served as General Counsel and Chief Compliance Officer for several private investment adviser firms, including for three significant start up hedge fund managers for whom he created and implemented institutional grade compliance programs. Irshad has also worked at BlackRock, JPMorgan and Credit Suisse where he provided legal and compliance coverage for a variety of businesses, including alternative investments.

Irshad holds a BA (summa cum laude) from New York University and a JD (cum laude) from Harvard Law School, where he was an Editor of the Harvard Law Review. He regularly speaks on legal and compliance matters relating to the hedge fund industry.

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Bruce Karpati

Managing Director, Global Chief Compliance Officer
KKR

Bruce Karpati (New York) joined KKR in 2014 as the Firm's Global Chief Compliance Officer and Counsel.

Prior to joining KKR, Mr. Karpati was the Chief Compliance Officer of Prudential Investments, the mutual fund and distribution business of Prudential Financial. Mr. Karpati was previously the National Chief of the SEC’s Asset Management Unit, supervising a staff of 75 attorneys, industry experts, and other professionals. Mr. Karpati joined the SEC as a staff attorney in 2000, was promoted to Branch Chief in 2002, Assistant Regional Director in 2005, and to Co-Chief of the SEC's Asset Management Unit in 2010. In 2007, he founded the SEC’s Hedge Fund Working Group, a cross-office initiative to combat securities fraud in the hedge fund industry.

He earned his JD from the University at Buffalo Law School, and his Bachelor’s degree in International Relations from Tufts University.


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