In this very special installment of the Silver Salon Series, Fizza Khan, CEO of Silver, and Russell Stuart, Vice President at Broadridge, will be joined by renowned Keynote Speaker and Guest Lecturer, Tom Hardin, who is famously known as “Tipper X.” Together, these distinguished panelists will explore the increasingly complicated landscape of SEC compliance, to include current regulatory trends and notable enforcement actions, followed by the captivating story of Tom Hardin’s journey through one of the largest insider trading investigations in U.S. history.
Gain unparalleled insights into SEC compliance from industry experts and hear a compelling first-hand account of overcoming regulatory pitfalls. This evening’s event promises to equip you with the knowledge and strategies needed to thrive in today’s regulatory environment. Below are some of the themes we plan to break down throughout the course of the evening:
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Navigating the Current Regulatory Landscape:
- Trends and Developments: Analysis of the most significant regulatory trends and developments from the SEC and what they mean for private fund managers.
- Recent Enforcement Actions: A detailed look at recent high-profile SEC enforcement actions and what they signify for the industry.
- Compliance Challenges, Strategies and Best Practices: Strategies for identifying and mitigating risks associated with regulatory compliance, common challenges faced by private fund managers in complying with these regulations and practical solutions to address them.
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Tom Hardin’s Insider Trading Experience:
- The Moment of Truth: A vivid recounting of the day Tom Hardin was approached by FBI agents, including the emotional and psychological impact.
- The Aftermath: The process of cooperating with authorities, wearing a wire and the subsequent fallout on his personal and professional life.
- Compliance Lessons Learned: The critical lessons learned from Tom’s experience, emphasizing the need for strong ethical standards and effective compliance measures in the financial sector.
Date: Thursday, September 12th
Time: 5:30 pm – 7:30 pm PST
Location:
The Peninsula Beverly Hills:
The Magnolia Room
9882 S Santa Monica Blvd
Beverly Hills, CA 90212
Hosts:
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- Fizza Khan, CEO, Silver Regulatory Associates
- Russell Stuart, Vice President at Broadridge
- Tom Hardin (“Tipper X), Guest Speaker
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RSVP: Space is very limited. Please indicate your interest by Monday, September 9th.
*** Lite bites and drinks will accompany our conversation ***
