Presentations
Mike Sefton serves as a panelist for the FMA Securities Compliance Seminar
On April 28, 2011, Mike Sefton served as a panelist for the "Private Funds" session at the Financial Management Association's (FMA's) Securities Compliance Seminar in Chicago. The session covered compliance issues for registered investment advisers, advisers to private equity and hedge funds, and institutional investors in the wake of Dodd-Frank.
Click below to review the article distributed at the seminar.
Proposed SEC Rules Affecting Investment Advisers and Private Fund Managers
Harris Kay gives presentation on the Dodd-Frank Wall Street Reform and Consumer Protection Act
On February 1, 2011, H&L partner Harris Kay spoke at a meeting of the Futures, Securities and Derivatives Member Forum of the Illinois CPA Society. Mr. Kay provided an overview related to certain new provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Harris Kay gives presentation on Electronic Discovery to CBA Committee
In December 2007, Harris Kay gave a presentation to the Financial & Investment Services Committee of the Chicago Bar Association. His presentation focused on the unique electronic discovery issues faced by members of the financial services industry. The topics included:
- Overview of electronic discovery issues.
- The new federal rules related to electronic discovery.
- Other federal statutes with document retention requirements.
- Electronic document issues in FINRA matters.
- Consequences of E-discovery failures.
- Electronic discovery and regulators.
- Best practices for electronic document retention.
Michael Sefton speaks at the CBA's Annual Futures and Derivatives Law Seminar
Michael Sefton gave a presentation at the Chicago Bar Association’s Annual Futures and Derivatives Law Seminar in June 2007. His presentation was focused on New NFA Compliance Requirements for Forex Dealer Members.
The topics covered in his presentation included the following:
- NFA's Post-Zelener amendments addressing the definition of "Forex."
- Amendments regarding promotional material and supervision of Forex transactions.
- Forex Dealer Member bankruptcy disclosure.
- Forex Dealer Member weekly reporting requirements.
- Financial Requirements;
- Bulk assignments and liquidation of Forex positions.
- Supervision of use of Electronic Trading Systems.
- Recovering the cost of regulating Forex Dealer Members.
We invite you to view the PowerPoint presentation by clicking the link below.
Jeff Henderson serves as FIA EXPO Panelist
In November 2003, Jeff Henderson served as a panelist for the FIA Futures and Options Expo Workshop. Mr. Henderson participated in a panel discussion with industry members regarding recent developments in the regulatory landscape for CPOs and CTAs.
Doug Arend's Article in the MFA Reporter
The April 2004 Edition of the MFA Reporter featured an article written by Douglas Arend, a partner at Henderson & Lyman. The MFA Reporter is an industry newsletter reporting on timely issues for professionals in the futures, hedge fund and other alternative investment industries. The article, "(Almost) Everything Old is New Again: Notional Funding Returns to Performance Reporting," may be viewed below.
Click here to view the NFA Reporter with Doug Arend's Article.pdf (925 KB)