Briggs Attorneys Present on Hot Topics at Annual Meeting of National Society of Compliance Professionals

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October 24, 2007

Briggs and Morgan attorneys Frank A. Taylor and David E. Rosedahl, members of  the firm's Financial Markets Practice Group, were among this year's presenters at the National Society of Compliance Professionals' (NSCP) National Membership Meeting in Washington, D.C., a well recognized and attended annual industry event.

Taylor, who is head of Briggs and Morgan's Financial Markets Group, was a co-presenter on current issues affecting hedge funds, where topics included:

  • Maintaining the private placement exemption
  • Disclosure best practices related to conflicts of interest
  • Trading practices
  • Valuation
  • The implications of proposed registration

To view presentation slides for "Hedge Funds - Current Issues," click here. Rosedahl, who has more than 30 years experience in the securities regulatory arena, also presented at the NSCP annual meeting. He was a key speaker at a workshop discussing supervisory responsibilities. The presentation included an overview of NYSE/FINRA supervisory rules and requirements, proper classification of supervisors, and best practices for FINRA member firms. The presentation outline for "Supervisory Responsibilities - Who's in Charge and How to Document it?" is also available for reference. To view, click here.