Attracting Institutional Assets: The Importance of Operational Due Diligence

Thursday March 30, 2017 6:00 PM - 8:00 PM
NYSSA Conference Center
Available as: Live Session;
Categories: Business Management

Program Overview

For fund managers seeking to attract assets from institutional investors, it is critical to understand the areas of potential risk to their business operations. Prior to the 2008 financial crisis and its associated investment scandals, due diligence on fund operations was a lower priority. Today, the need to safeguard against operational risk is ongoing and requires constant oversight by the manager. Far beyond a simple check-the-box exercise, operational due diligence (ODD) has become an in-depth process in which investors assess both the fund's internal risk levels and the risk profiles of outsourced service providers.

Rather than viewing ODD as an unwelcome intrusion into the day-to-day business of the fund, managers should think of the process as a way to expose potential risks before they cause irreparable harm. Effective ODD is a necessity to attract and retain assets from institutional investors.

Features, Benefits, Values & Objectives

This program will serve to enhance manager's perspective of ODD and how it can help attract institutional assets. Join our knowledgable panel of industry experts to learn:

  1. Key components that comprise the ODD process

  2. Best practices for managing your fund's operational risk

  3. Specific issues that institutional investors consider "knock-out factors" for investment

Agenda

5:45PM Registration

6:00PM Welcoming Remarks
Robert Akeson, COO, Mirae Asset Securities (USA)

6:05PM Attracting Institutional Assets: The Importance of Operational Due Diligence

Moderator
Dori Graff, CFA, President, Mirabelle Strategies, LLC

Panelists
Boris Onefater, Managing Partner & CEO, Constellation Advisors

Michael Merrigan, Founder & Managing Member, Shadmoor Advisors, LLC

Maura McCarthy Harris, Head of Due Diligence, Bostwick Capital

Nancy Wang, Managing Director, Adherence, LLC

7:05PM Closing Remarks
Harumi Urata-Thompson, CFA, COO, NYSSA

7:10PM Networking and Cocktails

             
Who Should Attend

Investment Managers: Their COOs, CIOs, CFOs, Risk Officers, Legal and Compliance Professionals; Investment Consultants; Hedge Fund Investors; Industry Professionals


NYSSA expects all attendees to comply with NYSSA?s Code of Conduct while attending NYSSA events or meetings. NYSSA expressly reserves the right, in its sole discretion, to grant or deny access to any individual, or to expel any individual from any NYSSA event or meeting.


DISCLAIMER
The New York Society of Security Analysts, Inc. (?NYSSA?) is not a Registered Investment Advisor, Broker/Dealer, Financial Analyst, Financial Bank, Securities Broker, or Financial Planner. While NYSSA seeks to present accurate and reliable information, NYSSA does not endorse, approve, or certify such information, nor does it warrant or guarantee the accuracy, completeness, efficacy, timeliness, or fitness of such information for any particular purpose. Information presented may or may not be current as of the date of the presentation, and NYSSA has no duty to update and maintain the information, reports, or statements made during events.

The information presented is provided for information purposes only, and is not intended to be and does not constitute financial advice, investment advice, trading advice, or any other advice, is general in nature, and is not specific to you. None of the information presented is intended as an offer or solicitation of an offer to buy or sell, or as a recommendation, endorsement, or sponsorship of any security, company, or fund. NYSSA is not responsible for any investment decision made by you.

You should not make any financial, investment, trading or other decision based upon any of the information presented at NYSSA without undertaking your own independent due diligence and consulting with a qualified and registered securities professional. You understand that your use of any of the information presented at NYSSA is at your own risk.

There is a substantial amount of risk in trading securities, and the possibility exists that you can lose all, most or a portion of your capital. NYSSA does not, cannot, and will not assess or guarantee the suitability or profitability of any particular investment, or the potential value of any investment or informational source. The securities mentioned in any NYSSA presentation may not be suitable for investors depending on their specific investment objectives and financial condition.

Silver Sponsor

Host

Business Management Group

Program Details

Date
Thursday, March 30, 2017

Registration Deadline
Wednesday, March 29, 2017

Time
6:00-8:00PM

Location
NYSSA Conference Center
1540 Broadway, Suite 1010
45th Street Entrance

Fee
Members $30
Nonmembers $80


Welcoming and Closing Remarks
Robert Akeson
, COO, Mirae Asset Securities (USA)
Harumi Urata-Thompson, CFA, COO, NYSSA

Moderator
Dori Graff, CFA, President, Mirabelle Strategies, LLC

Panelists
Boris Onefater, Managing Partner & CEO, Constellation Advisors
Michael Merrigan, Founder & Managing Member, Shadmoor Advisors, LLC
Maura McCarthy Harris, Head of Due Diligence, Bostwick Capital
Nancy Wang, Managing Director, Adherence, LLC

Chairs
Robert Akeson
Sidney Hardee, CFA
James Delaney
Alison Inafuku Edge
Michael Lee
Tim Frazier
Rodney Laveau


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If you are unable to register for this event online, please call (212) 541-4530 for assistance.

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