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?