What does the SEC's Bruce Karpati, co-head of the agency's Asset Management unit since its inception, have to say about enforcement in the asset management area, including  valuation, conflicts of interest, disclosure of trading strategy, performance, insider trading, and controls for quantitative investment managers? Find out on April 5, when I will moderate a webcast focusing on "The SEC's Asset Management Unit and Strategies for Avoiding Trouble in 2011 and Beyond."

In January 2010, the SEC established Mr. Karpati's specialized unit within its Enforcement Division devoted to the area of Asset Management.  A year later, this unit has delivered a number of enforcement actions involving investment advisers, investment companies, and other types of private funds.

In this webcast, Mr. Karpati will discuss his unit's successes over the past year, and what it is currently prioritizing and pursuing.  He will be joined on the panel by John Reed Stark, Managing Director of Stroz Friedberg and former Chief, SEC Office of Internet Enforcement; and Bradley J. Bondi, a litigation partner at Cadwalader, Wickersham & Taft LLP and former counsel to SEC Commissioners Troy Paredes and Paul Atkins for enforcement matters.  The panel will also review the implications of Dodd-Frank for asset management firms, with a focus on its technological requirements and ramifications; and provide an overview of the best practices in the asset management area for ensuring compliance with federal securities laws, with a focus on insider trading compliance, appropriately using expert networks, addressing conflicts of interest, and providing adequate disclosures to investors.

To attend this webcast scheduled for Tuesday, April 5, at 1 pm Eastern, please sign up here.

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