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Bernstein Shur
News & Resources | Firm News
PORTLAND, Maine – Bernstein Shur attorney Scot Draeger has been selected as a panelist for the Investment Management Compliance Outsourcing Roundtable, sponsored by Money Management Executive (MME) in Manhattan on January 13, 2009.
The panel will field questions from the investment management community on issues related to the following:
• Chief Compliance Officer regulatory assistance under Rules 38a-1 and/or 206(4)-7
• Treasurer Sarbanes-Oxley assistance
• Anti-money laundering and identity theft monitoring
• Service provider (including sub-adviser) oversight
• Portfolio compliance monitoring
• Board governance
• Market-timing monitoring
• Registration statement development and maintenance
• Fair value pricing
Scot Draeger is a Bernstein Shur shareholder and leads their Securities and Financial Services Industry Group. Scot is a former Senior Legal Counsel to the U.S. Securities and Exchange Commission in Washington, DC. His practice focuses on representing securities industry and capital markets participants in the full spectrum of regulatory, compliance, enforcement, and transactional matters, with an emphasis on counseling the investment management industry and financial services companies.
About MME
MME dispenses breaking news and in-depth industry analysis of the events and issues affecting the mutual fund and entire money management industry. Each weekly issue contains intelligence on sales and marketing strategies, changes taking place affecting compliance and operations and more. (For more information visit www.mmexecutive.com)