Series on Operational Risk Published by Complinet:
Practical Operational Risk Management: Part One
Practical Operational Risk Management: Part Two
Practical Operational Risk Management: Part Three
Practical Operational Risk Management: Part Four
Practical Operational Risk Management: Part Five
Briefings and Webinars:
Risk Management for Hedge Funds:
An overview of the risk management challenges faced by hedge funds today, including:
- Market risk for hedge funds
- Credit risk for hedge funds
- Liquidity risk for hedge funds
- Operational risk for hedge funds
- Legal and regulatory risk for hedge funds
Moderator: Philippa Girling, Head of Banking and Financial Services Practice,Garrity Graham
Speakers include: David Koenig, CEO, The Governance Fund; Yury Dubrovsky, CRO, Lazard Asset Management Oleg Y. Movchan, CFA, President & Chief Risk Officer, VARA Capital Management, LLC
June 11, 2009 Directors & Officers: Being Prepared for the Fallout
Directors & Officers: Being prepared for the possible legal fallout from the current economic crisis
What are the risks that Directors and Officers currently face, and how have they changed in the recent economic turmoil? (Philippa Girling, Garrity, Graham, Murphy, Garofalo & Flinn, P.C.)
- Shareholders, investors, partners and members claims
- Customers, clients and consumer groups claims
- Other third party claims
- Regulatory investigations
What can D&O insurance cover do to protect you? (Bill Steers, Gunn, Steers & Company, LLC)
- Why buy D&O Insurance;
- D&O Insurance Challenges & Difficulties in securing coverage;
- How to secure D&O Insurance;
- What information are D&O Insurance Carriers asking for;
- Current D&O Insurance Market Trends;
- What types of coverages should be secured on a D&O Insurance Policy;
"We've been Sued! Now what?" (Thomas Flinn, Garrity, Graham, Murphy, Garofalo & Flinn, P.C.)
- Are we insured?
- If so, for what? Limits & defense expenses
- Who will defend us?
- What will the insuror do?
- Policy Defenses:
- Prior Notice
- "Insured vs Insured"
- Fraud
- If we are not insured, who will defend us and what should we do next?
- Special Litigation Committees
- Shareholder's demand
- Who should be appointed
- Litigation hold on documents/ESI
Directors & Officers: Being Prepared for the Fallout (recording)
Hedge Funds and Fraud: The Future of Due Diligence
Mar 19, 2009 Hedge Fund Fraud: The Future of Due Diligence Part 1 (recording)
Presented by Garrity Graham and PRMIA (Professional Risk Managers International Association: www.prmia.org)
March 19, 2009 Hedge Funds and Fraud: the Future of Due Diligence Part 2
- The psychology of the gullible investor (Stephen Greenspan Ph.D., Clinical Professor of Psychiatry, University of Colorado)
- The profile of a fraudster (James Tunkey, I-OnAsia)
- Current legal and regulatory requirements for hedge funds (Philip Thomas, Esq., Garrity Graham)
- A hedge fund insider's view (Samuel Won, Global Risk Management Advisors, Inc.)
- The regulatory future for hedge funds (Philippa Girling, Esq., FRM, Garrity Graham)
Presented by Garrity Graham and PRMIA (Professional Risk Managers International Association: www.prmia.org)
The session will focus on the following topics:March 19, 2009 Hedge Funds and Fraud: the Future of Due Diligence Part 3
- The psychology of the gullible investor (Stephen Greenspan Ph.D., Clinical Professor of Psychiatry, University of Colorado)
- The profile of a fraudster (James Tunkey, I-OnAsia)
- Current legal and regulatory requirements for hedge funds (Philip Thomas, Esq., Garrity Graham)
- A hedge fund insider's view (Samuel Won, Global Risk Management Advisors, Inc.)
- The regulatory future for hedge funds (Philippa Girling, Esq., FRM, Garrity Graham)
Presented by Garrity Graham and PRMIA (Professional Risk Managers International Association: www.prmia.org)
The session will focus on the following topics:
- The psychology of the gullible investor (Stephen Greenspan Ph.D., Clinical Professor of Psychiatry, University of Colorado)
- The profile of a fraudster (James Tunkey, I-OnAsia)
- Current legal and regulatory requirements for hedge funds (Philip Thomas, Esq., Garrity Graham)
- A hedge fund insider's view (Samuel Won, Global Risk Management Advisors, Inc.)
- The regulatory future for hedge funds (Philippa Girling, Esq., FRM, Garrity Graham)
Apr 16, 2009 Hedge Fund Regulation is Coming! How to Prepare (recording)
Apr 16, 2009 Hedge Fund Regulation is Coming! How to Prepare (slides)The Garrity Graham Banking and Financial Services legal team will provide an overview and top tips on the practical next steps to take, including:
Speakers:
- How to register with the SEC
- How to prepare for an SEC visit
- How to establish an AML program
- How to establish a compliance program
- How to establish an operational risk program
- How to be best in class for due diligence
Philippa Girling, Esq., FRM, Head of Banking and Financial Services Practice
Philip Thomas, Esq., Banking and Financial Services Team
Wendy Lurie, Esq., Banking and Financial Services Team
Mar 19, 2009 Hedge Funds and Fraud: Presentation (pdf)
May 6, 2009 Pandemic Flu Preparedness (pdf)
May 6, 2009 Pandemic Flu Preparedness: What should you be doing today?The essential elements of a pandemic flu preparedness and response plan (Peter Poulos, Executive Director, Business Continuity Management, Morgan Stanley)
- Short term actions: what should you be doing now?
- Medium and long term responses: what should you be doing to be better prepared if the current pandemic flu outbreak becomes worse?
- Sources of information (public and private)
- Communications: The Core Of The Preparedness Plan (Art Samansky, Communications Consultant, The Samansky Group)
- Practical next steps (Philippa Girling, Head of Banking and Financial Services, Garrity, Graham, Murphy, Garofalo & Flinn, P.C.)
- Your to do list
- Staying on top of the situation
Managing The New Transparency of Legal Risk Post Basel II
Operational Risk: Gathering Loss Data, Ann Caruso
Managing The New Transparency of Legal Risk Post Basel II: Operational Overview, Philippa Girling
Managing The New Transparency of Legal Risk Post Basel II, Philippa Girling
Invite: Managing The New Transparency of Legal Risk Post Basel II
Other Publications:
"Reform" Is Coming: What the future holds for Hedge Fund Regulation, and how should you prepare
Global Regulations Can Be Lost in Translation
Legal Risks & Reserves
