Jenner & Block

"Current Issues in Hedge Fund Enforcement and Compliance Programs," DC Bar, Washington, DC

Jenner & Block Partner Larry P. Ellsworth will speak at the DC Bar’s panel discussion entitled, “Current Issues in Hedge Fund Enforcement and Compliance Programs,” to be held December 4 at the DC Bar Conference Center in Washington, DC.

The panel of senior present and former regulators, including the head of the SEC’s Hedge Fund working group, and leading defense practitioners will discuss the emerging issues in SEC, State and FINRA Hedge Fund enforcement, effective compliance and defense strategies.  The areas of regulatory focus will include insider trading, valuation issues, hedge fund hotels and soft dollars, conflicts of interest and registration and examination concerns.  They will also discuss effective compliance programs and strategies and what to do (and not do) before and after the regulators call.

Mr. Ellsworth is a former Assistant Chief Litigation Counsel for the U.S. Securities and Exchange Commission’s Trial Unit.  Mr. Ellsworth, a member of the Firm’s Litigation Department and Business Litigation, Securities Litigation, Corporate, White Collar Criminal Defense and Counseling, and Securities Practices, is Chair of the DC Bar’s Broker Dealer Regulation and SEC Enforcement Committee and a member of the Steering Committee for the Corporation, Finance and Securities Law Section.