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Thompson Hine Invitation

Regulatory & Compliance Issues Confronting Hedge Funds Today

The ever-changing regulatory landscape confronting hedge funds and their investors will be the focus of our 9th Annual Hedge Fund seminar, taking place in New York this Fall.

As noted below, our topics will include the JOBS Act, AIFMD and FACTA.

This complimentary event is essential for hedge fund managers, family officers, institutional investors and industry service providers.

Following the seminar, we are hosting a complimentary workshop (details below). Lunch will be served.

When registering, please indicate which event(s) you plan to attend.

About Our Keynote Speaker

David Weild IV – Known widely as the "Father of the JOBS Act," David is the Founder, Chairman & CEO of Weild & Co. He is former Vice Chairman of the NASDAQ Stock Market in charge of the Corporate Client Division, with line responsibility for NASDAQ's 4,000 listed companies. He also was in charge of NASDAQ's Market Intelligence DeskSM, Corporate Services NetworkSM, Dual Listings and Research Initiatives.

David co-authored the long-term decline in equity capital formation in the United States and provided the core arguments that gave rise to the JOBS Act and many of its specific provisions.

In connection with the JOBS Act, David has also called for a "JOBS Act 2" or "JOBS Act Part 2" – language increasingly heard on Capitol Hill. His written work was cited by a broad range of legislators, regulators, academics, the IPO Task Force and the White House Jobs Council leading up to the JOBS Act. David has testified in Congress (most recently in June 2013) and at the SEC (most recently at the Roundtable on Decimalization) on these and other market issues and attended the signing of the JOBS Act by President Obama in the Rose Garden on April 5, 2012.

David was also recently asked to author a study for the Organization of Economic Cooperation and Development (OECD) titled "Making Stock Markets Work to Support Economic Growth" and presented in April 2013 in draft form to the 35 member nations of the OECD, IOSCO and the European Commission.

WORKSHOP | 11:30 a.m. – 1:00 p.m.

This year we are also offering a complimentary post-seminar workshop. Lunch will be served.

So You Want to Start a Mutual Fund? will review the process of starting a mutual fund and provide an overview of the key differences between a hedge fund and a mutual fund.

We will discuss fund structure alternatives, including stand-alone funds and series trusts, fees and economics, performance track records, investment restrictions, sub-advisory relationships and distribution.

  • Donald Mendelsohn, Thompson Hine
  • Michael Wible, Thompson Hine

October 17, 2013

8:00 – 11:00 a.m.

11:30 a.m. – 1:00 p.m.

Club 101
101 Park Avenue
New York

There is no cost to attend. Admission on the day cannot be granted without prior registration.

Angela Saunders


8:00 a.m.
Registration, networking & breakfast

8:15 a.m.
Welcome & overview
Richard Heller
Partner, Thompson Hine

8:20 a.m.
Keynote speech
David Weild IV
Founder, Chairman & CEO, Weild & Co

9:20 a.m.
Hedge Fund Regulatory and Compliance Issues – dealing with FACTA, AIFMD, NFA/CFTC and the JOBS Act


  • Jonathan Ross, Thompson Hine
  • Mitch Ackles, Hedge Fund Association
  • Kira Bazille, BTIG
  • Ajai Thomas,
    Deutsche Bank
10:00 a.m.
Networking break

10:20 a.m.
RIAs After Dodd-Frank

  • Michael Wible, Thompson Hine
  • Dennis Schall, Marcum
  • George Martinez, BNP Paribas
  • Christopher Kundro, Wells Fargo Global Fund Services
  • Michael Megaw, SS&C GlobeOp
10:55 a.m.
Closing remarks

11:00 – 11:30 a.m.
Transition to workshop

11:30 a.m. – 1:00 p.m

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