Tag: John Schneider

Have you been Dodd-Franked?

On Thursday, December 2nd, 2010, I will be part of panel discussing some of the effects of the Dodd-Frank Wall Street Reform and Consumer Protection Act on real estate investment management firms.

The session is open to the public, but not free.

Panelists

John Schneider, Principal, KPMG LLP
Paul D. Schwartz, Partner, Goodwin Procter LLP
Doug Cornelius, Chief Compliance Officer, Beacon Capital Partners

Have you been Dodd-Franked?
If you invest other people’s money in real estate you may have been. The Dodd Frank legislation’s impact on real estate investment managers is far reaching and evolving. Our panel of experts will discuss the legislation and answer these key questions:

  • Who will need to register or unregister with the SEC and State?
  • What is the timeline for compliance and rules making?
  • Will the SEC visit you and what is their focus?
  • What is a Compliance Program and CCO?
  • What reporting will be required regardless of registration requirements?
  • How is the definition of an “Accredited Investor” changing?
  • Other timely issues such as the “Pay to Play” rules.

Thursday, December 2nd, 2010
Wilmer Cutler Pickering Hale & Dorr LLP
60 State Street, 26th Floor, Boston
Registration 7:30 a.m.; Program 8:00 – 9:30 a.m.

Cost: $50 REFA Member | $80 Non-member
Members Register Online |  Faxable Registration Form | **72 HOUR CANCELLATION POLICY**

Questions? Please call Kayla Burmeister at 617-399-7863

Managing Risk in the Financial Sector

managing-compliance

On Sept. 16, 2009, Compliance Week and Navigant Consulting presented an exclusive editorial roundtable about compliance practices at financial services firms at The Mandarin Oriental Hotel in Boston.

(Apparently not so exclusive, considering I was able to get in. I even made it into one of the article’s pictures. – That’s me eating my fingers in the background.)

Compliance Week Editor-in-Chief Matt Kelly moderated the session, which featured Daniel Bender and John Schneider of Navigant Consulting. The full roster of participants is in the article’s sidebar.

You can read more about what we discussed during the roundtable in an article in Compliance Week: Managing Risk in the Financial Sector. (Subscription Required)

A few of my favorite quotes from the article:

Lou Iglesias, chief compliance officer of PanAgora Asset Management: Part of the role of a compliance and risk officer is “being a student of history” and learning from past industry mistakes. “And you don’t have to look back too far to find them.”

James Bone, founder of GlobalComplianceAdvisors LLC: Because there is no school for compliance, continually developing new staff to keep up with regulations is also a challenge. Even if you have an unlimited budget to hire talent, “finding people who have the right skill-set to do the things that you need to get done” isn’t always easy.