New York, NY (PRWEB) October 20, 2012
Compliance Science Inc. (“CSI”), the global regulatory compliance technology services leader and Pillsbury Winthrop Shaw Pittman LLP (“Pillsbury”), 2012 US Hedge Fund Services Awards winner of the “Best Onshore Law Firm – Hedge Fund Start-Ups”, co-hosted a successful client symposium on October 17th at Pillsbury’s New York office focusing on the latest compliance issues.
In attendance were dozens of hedge funds, PE firms, and investment advisory firms who came to learn from a panel of CCO's and regulatory attorneys. Topics covered include:
The recent SEC's referral of enforcement matters against fund managers to the U.S. Department of Justice for criminal prosecution
The use of technology to simplify Chief Compliance Officer's obligations and minimize liability
The implications of the U.S. Jumpstart Our Business Startups Act (JOBS Act) on compliance procedures and policies of fund managers
“CSI's technology and thought leadership is in use at over 300 client firms. By co-hosting this compliance symposium with a highly regarded law firm like Pillsbury we are able to keep our community informed of recent compliance events in today’s evolving regulatory environment through real life case scenarios from CCOs,” said Mitchel Kraskin, CEO of Compliance Science.
About Compliance Science
Compliance Science is a New York City based global leader in providing web-based regulatory compliance technology and services to the Financial Services community. Clients include leading RIA's, B/D's, PE Firms, Hedge Funds, Banks, Pension Plans, Public Companies - all of whom rely on CSI to help protect them from the specter of reputational damage and revenue loss from non-compliant activities.
Visit us at the Compliance Science Booth #26 at the National Society of Compliance Professionals (NSCP) National Conference in Washington, DC on Oct 22 – 24, 2012 for a live product demonstration.
Or to schedule a demonstration at your office, call 212.327.1533, email sales(at)complysci(dot)com or visit http://www.complysci.com.
Pillsbury’s Investment Funds & Investment Management Team have extensive experience structuring, forming and maintaining funds, consummating complex and innovative transactions, and providing tax and regulatory advice to investment management industry participants. Pillsbury attorneys assist clients with investment company registration, adviser and broker-dealer registration, and compliance with the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934. We also advise clients on the Employee Retirement Income Security Act of 1974 as it relates to investment funds, including the ERISA “Plan Asset Regulation,” the Qualified Professional Asset Manager requirements, and fiduciary duties under ERISA.
Pillsbury is a full-service law firm with a keen industry focus on the energy and natural resources, financial services, real estate and construction, and technology sectors. Based in the world's major financial, technology and energy centers, Pillsbury counsels clients on global regulatory, litigation and corporate matters. Pillsbury attorneys work in multidisciplinary teams that allow us to anticipate trends and bring a 360-degree perspective to complex business and legal issues—helping clients to take greater advantage of new opportunities and better mitigate risk. This collaborative work style helps produce the results our clients seek.
For any questions related to this press release, please contact
Compliance Science: Hazel Alvarado at 212.327.1533, Hazel(dot)Alvarado(at)complysci(dot)com
Pillsbury: Jaime Bruck at 212.858.1051, Jaime(dot)Bruck(at)pillsburylaw(dot)com