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In The News
MARHedge, July 17th 2006 Edition
A Side Bar on Side Letters
Insight into the SEC’s and FSA’s regulatory outlook
Contributing Authors:
Katie Chatterson, Managing Director, TurboComplianceSM
Tim Clark, JD, Partner, Dechert
Harry Davis, JD, Partner, Schulte Roth & Zabel
Nathan Greene, JD, Shearman & Sterling
Sal Shah, CPA, Partner, McGladrey & Pullen
Curtis Flippen, JD, Senior Manager, Ernst & Young LLP
Click here
to view the article
MARHedge, July 17th 2006 Edition – Front Page News
Still Open for Business
By Hung Tran
Quoted Sources:
Katie Chatterson, Managing Director, TurboComplianceSM
Click here
to view the article
Daily Institutional Investor, May 12, 2006 Edition
Tips For A Happier SEC Experience
Contributing Authors:
Katie Chatterson, Managing Director, TurboComplianceSM
Dana Pawlicki, Director, Citigroup Alternative Investments
Ted Johann, General Counsel, Botti Brown Asset Management
Please visit dailyii.com to obtain the article.
MARHedge, May 9th Edition
Compliance is a full time job
By M. Corey Goldman
Quoted Sources:
Katie Chatterson, Managing Director, TurboComplianceSM
Dana Pawlicki, JD, Director, Citigroup Alternative Investments
Ted Johann, JD General Counsel, Botti Brown Asset Management
Shilpa Kotwal, CPA, Co-head Due Diligence, New Finance Capital
Please visit MARHedge.com to view the article
MARHedge, April 10, 2006 Edition
Anatomy of the SEC Examination Process
A Primer from the Regulatory Compliance Association
Contributing Authors:
Katie Chatterson, Managing Director, TurboComplianceSM
Terri Messina, CPA, Partner, Ernst & Young
Curtis Flippen, JD, Senior Manager, Ernst & Young LLP
Nathan Greene, JD, Shearman & Sterling
George Mazin, JD, Partner, Dechert
Sal Shah, CPA, Partner, McGladrey & Pullen
Kip Allardt, CCO, Discovery Capital Management
Click here
Click here to view the article
MARHedge, February 13th, 2006 Edition
Calendar Your Compliance For 2006…A Primer From the Regulatory Compliance Association To Effectively Manage Your Compliance Program,
A MARHedge/ RCA Compliance Practice Guide
Contributing Authors:
Katie Chatterson, Managing Director, TurboComplianceSM
Sal Shah, CPA, Partner McGladrey & Pullen
Kip Allardt, CCO, Discovery Capital Management
Nathan Greene, JD, Shearman & Sterling
Collin Sanderson, CA, Director, McGladrey & Pullen
Click here
to view an excerpt, or visit MARHedge.com to obtain the full article
MARHedge, January 16th, 2006 Edition
The Bayou effect…Frauds and scandals made '05 an even tougher year. Will lessons be learned in '06?
By M. Corey Goldman, Toronto Bureau
Quoted Sources:
Katie Chatterson, Managing Director, TurboComplianceSM
Jahan Raissi, Partner, Shartsis Friese LLP
George Mazin, Partner, Dechert LLP
Terri Messina, Partner, Ernst & Young
Patrick Egan, CIO, Attalus Capital
Click here
to view an excerpt, or visit MARHedge.com to obtain the full article
Investment News, January 9th, 2006 Edition
Bill Would Decentralize SEC Compliance Efforts
By Sara Hansard
Quoted Sources
Katie Chatterson, Managing Director, TurboComplianceSM
Arthur S. Levitt, Former Chairman, SEC
Eliot L. Spitzer, Attorney General, New York
Representative Vito Fossella (R – NY)
Michael Castle, Representative, (R-Del)
David Tittsworth, Executive Director, Investment Adviser Association
Barbara Roper, Director, Consumer Federation of America
Carl Wilkerson, VP & Chief Counsel, American Counsel of LIfe Insurers
Lisa McGreevy, EVP, External Affairs, Financial Services Roundtable
Stephen Craffen, Partner, Baron Financial Group
Click here
to view an excerpt, or visit Investmentnews.com to obtain the full article
MARHedge, January 6th, 2006 Edition
House bill would abolish SEC Compliance Office
By M. Corey Goldman
Quoted Sources:
Katie Chatterson, Managing Director, TurboComplianceSM
Representative Vito Fossella (R - NY)
Please visit MARHedge.com to view the article
HedgeWorld, January 6th 2006 Edition
Congressman Calls for More Streamlined SEC
Susan L. Barreto, Senior Financial Correspondent
Quoted Sources
Representative Vito Fossella (R – NY)
Katie Chatterson, Managing Director, TurboComplianceSM
Click here
to view an excerpt, or visit Hedgeworld.com to obtain the full article
Securities Industry News, December 19th, 2006, Edition
Hedge Fund Dilemma
By Carol Curtis
Quoted Sources
Katie Chatterson, Managing Director, TurboComplianceSM
Paul F. Roye, Director Division of Investment Management, SEC
Thomas Levy, Managing Director, Morgan Stanley
Charles Crow, Partner, Crow & Associates
Brain Shapiro, President, Carbon360
Visit securitiesindustry.com to obtain the full article.
HedgeWorld, November 24th 2005 Edition
Spot Survey Finds No Large Registration-Avoidance Movement
Susan L. Barreto, Senior Financial Correspondent
Quoted Sources
Katie Chatterson, Managing Director, TurboComplianceSM
Gene A. Gohlke, Associate Director, Office of Compliance Inspections and Examinations at the SEC
Click here
to view an excerpt, or visit Hedgeworld.com to obtain the full article
MARHedge, November 21st 2005 Edition
Under lock-up and key…Some HF's are extending lock-up provisions in lieu of registration, but only if the key fits
M. Corey Goldman, Toronto Bureau
Quoted Sources
Katie Chatterson, Managing Director, TurboComplianceSM
George Mazin, JD, Partner, Dechert
Nicholas Hodges, JD, Partner, Dechert
Click here
to view an excerpt, or visit MARHedge.com to obtain the full article
MARHedge, October 24th 2005 Edition
The mid-December myth…Forty five-days to SEC registration subject of lore, wishful thinking, experts say
M. Corey Goldman, Toronto Bureau
Quoted Sources
Katie Chatterson, Managing Director, TurboComplianceSM
Nicholas Hodge, JD, Partner Kirkpatrick, Lockhart, Nicholson & Graham
Jahan Raissi, Shartsis Friese LLP
Click here
to view an excerpt, or visit MARHedge.com to obtain the full article
MARHedge, September 22nd 2005 Edition
Many hedge funds lagging on becoming compliant
M. Corey Goldman, Toronto Bureau
Quoted Sources
Katie Chatterson, Managing Director, TurboComplianceSM
William Natbony, JD, Partner, Katten Muchin Rosenman LLP
Keisha Audain-Pressley, Manager, Ernst & Young
Richard Eng, CFO, Ramsey Asset Management
Click here
to view an excerpt, or visit MARHedge.com to obtain the full article
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