Corngold Speaks at GAIM Conference on Alternative Investment Regulation

February 4, 2014

Friedman Kaplan partner Eric Corngold spoke on a panel of compliance officers, inside and outside counsel, regulators and forensic advisers at the GAIM Regulation conference, sponsored by the Institute for International Research. The all-day conference provided insight into various aspects of the current regulatory environment facing the alternative investment community, including what issues the SEC, CFTC, FINRA and other regulators are focused on, what they look for when performing a compliance audit, and how managers and investors can prepare for new rules and regulations. Mr. Corngold's panel, titled "Meeting Government Expectations About Remediation, Independent Consultants, and Monitors," discussed the use of corrective measures following a compliance incident, selection of independent compliance consultants and monitors, the effectiveness of a remediation program in avoiding enforcement proceedings, and other related issues.

The conference was held on February 4, 2014 at the New York offices of Ropes & Gray LLP, 1211 Avenue of the Americas.