Hardin News

David Rishel to speak at the 2017 Canada Operational Leaders Summit

HFM Canada Operational Leaders Summit 2017
Wednesday, February 22, 2017 (9:30 AM – 10:15 AM)


David Rishel, Partner and COO of Hardin Compliance Consulting will be speaking at the HFM 2017 Canada Operational Leaders Summit.  David will be participating in the Q&A—Breaking into the US:  A need–to-know guide alongside Danielle Skipp, Chief Operating & Compliance Officer of BloombergSen Investment Partners and Sam Dale, Deputy News Editor, HFM Week.


Topics of Discussion include:

  • A step-by-step breakdown of how to access the US market
  • Understanding US regulation:  Breaking down SEC rules and getting acquainted with the NFA, MFA, FINRA
  • Distribution opportunities:  Where do allocators go?
  • Fund structures in the US:  What are the common structures and how does one create and fit into their requirements?
  • Broker-Dealer triggers
  • What are the ramifications of duel-registration?
  • What about Form PF?
  • Learning the ins and outs of FATCA
  • The potential downfalls of taking on foreign investors:  Which ‘what-ifs’ should you be most careful about?
  • A new US president:  Will the new administration execute its campaign promises related to finance and regulation?  What changes are possible and how can you prepare?