Regulation and Compliance

Regulation and Compliance - Conferences

Investment Regulation and Compliance Conferences. In this part of the site, we list investment conferences for compliance professionals, regulators, lawyers and investment professionals seeking to improve their processes for working within regulatory constraints. The CFA Institute run a number of U.S. events on GIPS standards and compliance. FRA run events on compliance...

within the private fund industry (including hedge fund compliance). PEI focus their compliance event on private equity, and BVCA run a tax, legal and regulatory event in London. FTF run a "SMAC" event focussing on social media and compliance. Other key themes covered by conferences on this page include regulation and risk management, regulation and fund accounting, and topics such as AIFMD, Dodd-Frank, Solvency II and capital requirements, advertising regulations, recordkeeping, financial promotions, best execution, soft commissions and many more.

Read more
  • 15
    Mar 2023

TSAM (Boston, MA) 15 Mar 2023

On March 15th, TSAM Boston will bring together leading asset management firms to discuss the latest challenges facing the buy-side community, as well as the evolving technology and regulatory…

  • 07
    Jun 2023
  • 08
    Jun 2023

TSAM (London) 7-8 Jun 2023

On June 7-8 TSAM (The Summit for Asset Management) will bring together leading asset management firms to discuss the latest challenges facing the buy-side community, as well as the evolving…