Thought Leadership

08 November, 2017

Highly liquid, moderately liquid, less liquid, and illiquid. Classifying securities in one of those four buckets for the first time under the US Securities and Exchange Commission’s new liquidity rule will force compliance and risk managers at US mutual funds and exchange-traded funds to implement new operational procedures by next year. Read More ⇒

28 September, 2017

On October 13, 2016, the US Securities and Exchange Commission (SEC) approved new and comprehensive rules to address liquidity risks for mutual funds. In addition, the SEC adopted new mutual fund reporting rules and an optional “swing pricing” rule.   Key elements of the liquidity risk management rule include:   Liquidity risk management programs: All mutual […] Read More ⇒

21 August, 2017

Highly liquid, moderately liquid, less liquid, and illiquid. Classifying securities in one of those four buckets for the first time under the US Securities and Exchange Commission’s new liquidity rule will force compliance and risk managers at US mutual funds and exchange-traded funds to implement new operational procedures by next year. Read More ⇒

01 June, 2017

Steve Cohen, the billionaire who ran one of Wall Street's most infamous hedge funds, is trying to stage a big comeback. Less than four years after his old firm pleaded guilty to insider trading, Cohen is launching a new fund, reportedly with a goal of managing as much as $20 billion. Read More ⇒

22 March, 2017

In the proverbial ‘beginning’, formal risk management – which entails not only measurement and reporting of risks, but, also, prudent management and governance of risks – was primarily only practiced by a select number of large global investment banks, such as JP Morgan, Goldman and Citi. Read More ⇒

21 February, 2017

Transparency in business bestows an aura of credibility and fidelity, whereas a lack of it breeds suspicion and lingering doubt – a notion the private equity (PE) industry is, or should be, well aware of. Read More ⇒

03 January, 2017

Regulators internationally have dealt multiple blows to telecoms deals this year in continued demonstrations of national protectionism and an increased focus on competition concerns. The European Commission (EC) and Chinese regulatory authorities may present the highest hurdles to M&A transactions amid fears of US dominance and in-market monopolies in their territories. Read More ⇒

14 December, 2016

On 13 October 2016, the US Securities and Exchange Commission (SEC) adopted final new rules for liquidity risk management and rule amendments to modernise reporting. These new rules and rule amendments represent significant changes to current liquidity management and reporting requirements that will materially affect operations, reporting and disclosures at many open-end funds. Read More ⇒

12 October, 2016

In ACQ5 Magazine’s annual edition of its Hedge Fund Awards, GRMA was named the best investment risk management firm of the year for 2016. Read More ⇒

06 July, 2016

Sam Won, Founder and Managing Director of Global Risk Management Advisors, on managing Brexit risks in investor portfolios. Read More ⇒

22 June, 2016

A combination of sweeping regulatory changes and pressure from large institutional investors has resulted in alternative asset managers providing more granular details about investment holdings and the associated market, credit and liquidity risks in their portfolios. But what does this mean for family offices' risk management protocols? Read More ⇒

02 May, 2016

Hedge fund managers’ worry list has gotten longer. Aside from alpha and beta, competition and keeping clients satisfied, there is new urgency around compliance and regulatory risk. The latter issues have been simmering since the financial crisis and the Dodd-Frank Act’s requirements for registration of private fund advisers and now figure prominently in regulators’ comments about examination priorities and policymakers’ concerns about financial stability. Read More ⇒

20 April, 2016

For the SEC, the new data requirements represent what it calls a “modernization” of how it oversees the registered investment fund market. It wants to know whether there is any potential systemic risk arising from widespread investor redemptions. That concern also prompted the regulatory agency to propose other rules on how registered investment fund managers should curtail their use of derivatives and manage their liquidity risk. Read More ⇒

30 March, 2016

The charitable foundation of hedge-fund billionaire Louis Bacon said it fell victim to Andrew Caspersen, the Wall Street banker accused of stealing $25 million in an investment scam. Read More ⇒

11 February, 2016

A fund for employees at BlueCrest Capital Management has apparently caught the attention of the Securities and Exchange Commission – and highlights the risks hedge fund managers face in offering internal funds, compliance experts say. Read More ⇒

21 January, 2016

Must have knowledge of derivative products, risk management, compliance procedures, technology implementation and project management. An MBA or graduate degree in financial engineering is required. A certified financial analyst designation is preferred. Read More ⇒

10 December, 2015

Here’s what U.S. state and city pension funds are getting this year for the hundreds of millions of dollars in fees they’re forking over to hedge funds: almost nothing. Read More ⇒

30 November, 2015

Below is link to the audio podcast on “Institutional Quality Risk Management for Family Offices: Governance, Processes and Controls,” featuring Sam Won, Founder, GRMA. Read More ⇒

19 November, 2015

In the aftermath of the financial crisis that began in 2008, the term "risk management" has now entered virtually everyone's lexicon. For most family offices, there are numerous risks they face as an organization such as operational risk, enterprise risk, and financial and investment risk. Read More ⇒

16 November, 2015

Gründer des Beratungsunternehmens Global Risk Management Advisors, ist davon überzeugt, dass die derzeitigen Probleme einiger Hedgefonds darauf zurückzuführen sind. Read More ⇒

06 November, 2015

As global regulators increasingly view banks and hedge funds with more scrutiny, they could both benefit by learning from each other. Read More ⇒

06 November, 2015

While a major market disruption probably wouldn’t prevent equity managers from exiting positions in an orderly fashion, the liquidity issues facing bond managers are far more complicated. Read More ⇒

15 October, 2015

Fortress Investment Group LLC and Bain Capital are leading the list of big-name money managers liquidating hedge funds this year as volatility roils global markets. Read More ⇒

01 September, 2015

All things being equal, in today’s environment we have found that more and more institutional investors place a significant premium on transparency from funds, with particular regard to risk-related transparency when deciding to stay with an existing manager or invest in a new manager. Read More ⇒

17 August, 2015

In general, before the 2008 financial crisis, a fund could be considered institutional-quality by simply having good pedigree and brand name service providers. However, in the aftermath of the crisis, most institutional investors have now materially enhanced their requirements and due diligence standards for what they consider to be institutional quality. Read More ⇒

17 August, 2015

Many asset owners don’t even know how to phrase the right questions, much less know if the answers they receive from asset managers are adequate or true. Sam Won discusses what questions asset owners should be asking of fund managers before deciding to invest. Read More ⇒

18 May, 2015

Getting over big losses is tough, but it's important to take risks to achieve long-term gains. Read more to learn about how to manage risks in your portfolio Read More ⇒

09 April, 2015

In the April issue of Finance Monthly, Sam Won of GRMA discusses the challenges funds are facing with risk-related reporting/regulatory requirements and why having institutional-quality risk management is essential for attracting and retaining investors. Read More ⇒

24 March, 2015

There has been much discussion and consternation about the reporting and disclosure aspects of the Alternative Investment Fund Manager Directive (AIFMD or the Directive). While AIFMD impacts almost all aspects of an alternative investment firm's operations, we find that one area that is not well understood is risk management requirements for the Directive. Read More ⇒

24 March, 2015

Point72 Asset Management, the successor to Cohen’s hedge fund SAC Capital Advisors, has hired about 30 employees since the start of last year to build computer models that collect publicly available data and analyze it for patterns. Read More ⇒

03 March, 2015

Ever since the 2008 crash, risk management considerations have taken on a significantly higher importance in decision making among those conducting due diligence when evaluating a prospective hedge fund investment. As Global Risk Management Advisors counsels, there are four sets of portfolio management-related risk management questions that prospective investors delve into that hedge fund firm owners should ask themselves to give their businesses a quick self-assessment. Read More ⇒

20 February, 2015

The 46-year-old founder of Greenlight Capital told his investors last month at a dinner in New York that he was doing away with the fixed return target and replacing it with relative goals to account for lower interest rates and the record prices of stocks. Read More ⇒

04 February, 2015

Although 2015 has just begun, the markets have already exhibited much volatility. We fully anticipate that there will be a number of additional periods of unexpected volatility that will blindside funds this year. This combined with the many demanding and continuing operational challenges arising from the many risk-related regulatory and investor reporting and transparency requirements will present many challenges for funds. Read More ⇒

14 January, 2015

In this guest article, two of the leading global authorities on the AIFMD – Samuel K. Won, Founder and Managing Director of Global Risk Management Advisors, and Simon Whiteside, a Partner in the London office of Simmons & Simmons LLP – provide comprehensive answers to 14 of the questions most frequently asked by U.S. and other non-E.U. managers on the impact and implementation of the AIFMD. Read More ⇒

23 December, 2014

In closing out one year and getting ready to start another, there are a number of recent significant regulatory developments that funds should bear in mind... Read More ⇒

17 December, 2014

The Alternative Investment Fund Manager Directive Annex IV. The long phrase describes at least three hundred points of reference data and other risk metrics alternative fund managers must provide regulators if they want to grab a “passport” to market their funds across European borders. Read More ⇒

10 December, 2014

One of the key focus areas of GRMA's risk management services is on all aspects of risk-related regulatory and investor reporting, including AIFMD. In a webinar, Sam Won discusses on the topic - AIFMD for U.S. Asset Managers: Staying Compliant or Staying Exempt Read More ⇒

13 October, 2014

The Riverside Company, a private equity fund with $4.6 billion in assets under management and offices on four continents, has felt the impact of a host of new rules and regulations including the Dodd-Frank Act, the Foreign Account Tax Compliance Act (FATCA) and Europe's Alternative Investment Fund Managers Directive (AIFMD). Read More ⇒

12 October, 2014

Governments around the globe have enacted a wave of new financial regulations in an effort to address drivers of the great financial crisis that began in 2008. One set of new regulations that will have a significant impact on private equity (PE) fund managers is the Alternative Investment Fund Managers Directive (AIFMD) Read More ⇒

21 August, 2014

As part of its obligations under Dodd Frank, the U.S. Securities and Exchange Commission (SEC) issued its second annual report on Form PF to Congress just last week, on August 15, 2014. The report indicates that, while the primary aim is create source data that Read More ⇒

06 March, 2014

The Princeton University Investment Company, which manages the University’s endowment, has slightly adjusted its allocations to include a higher percentage of investments in comparatively more liquid assets. Read More ⇒

06 February, 2014

The company differentiates itself through the breadth and depth of its services, which no other risk management company offers in totality. However, there are also important differences between GRMA and firms that offer a small proportion of its services. Read More ⇒

01 December, 2013

In my previous article, “Why risk management now”, Sam Won discussed why institutional investors have begun to take a more formal approach to the risk management of their investment portfolios. He noted that the major drivers of this trend for endowments, foundations, pensions and family offices include concern about fiduciary risk, adoption of best practices of leading institutional investors, and recognition that their investment consultant and/or asset managers cannot play this role because of a conflict of interest Read More ⇒

01 October, 2013

The Alternative Investment Fund Manager’s Directive (AIFMD) has been introduced to provide a common regulatory regime for managers of non-UCITS funds, creating a single European market in this area. Read More ⇒

01 August, 2013

It has been over five years since the start of the largest financial crisis since the Great Depression. Given the spectacular failures of many major financial institutions and the huge losses suffered by almost all investors, ranging from institutional to “mom and pop”, the term “risk management” is now a part of everyone’s lexicon. Read More ⇒

23 July, 2013

Sam Won discusses market risk with Pimm Fox on Bloomberg TV’s “Taking Stock” Read More ⇒

01 May, 2013

The Inaugural Wealth Management Insights conference was held on April 15-17 at the Biltmore Hotel in Coral Gables, Florida, bringing together roughly 90 family offices and hedge fund managers in an attempt to share thought leadership and create an intimate venue for private discussions. Read More ⇒

16 April, 2013

Global Risk Management Advisors (“GRMA”) is pleased to provide a Form PF update based upon our most recent experience working with major funds and advising major law firms, primes, administrators and the regulators Read More ⇒

15 March, 2013

Sam Won discusses JP Morgan’s $6.2 billion risk management debacle on Bloomberg TV’s “Taking Stock” Read More ⇒

08 February, 2013

The International Hedge Fund Awards 2013 (IHFA) celebrate excellence within the emerging asset class, recognising the people, companies and firms who are successfully forming, managing and advising on hedge funds in the current market. Read More ⇒

24 January, 2013

With the initial Form PF filings behind us, now is an opportune time to take stock of what lessons hedge fund advisers have learned from their experience with Form PF to date. In this article, we address, based on our work and discussions with first filers and other advisers, the following questions that advisers have asked us about Form PF Read More ⇒

11 December, 2012

At the end of November, hedge fund advisers with Regulatory Assets Under Management (“RAUM”) of $5 billion or more had to make their second Form PF filing. We at Global Risk Management Advisors (“GRMA”) want to take this opportunity to update you on our recent experience working with some of the largest first filers. Read More ⇒

15 November, 2012

Form PF has presented, and continues to present, daunting challenges for hedge fund managers required to file the form. The initial filing highlighted some best practices as well as some pitfalls associated with the Form PF process. Read More ⇒

04 October, 2012

The Hedge Fund Law Report recently had the privilege of discussing Form PF with Samuel K. Won, the Founder & Managing Director of Global Risk Management Advisors, Inc. (GRMA), a preeminent adviser to alternative investment managers and investors on risk management. GRMA has advised major hedge fund managers, institutional investors and regulators on preparation, filing and use of Form PF. Read More ⇒

07 August, 2012

Many traders dream about striking off and starting their own investment firms, but with capital difficult to come by these days,start-up shops are having to find innovative ways to market themselves and demonstrate the strengths of their strategies. Read More ⇒

02 July, 2012

Sam Won discusses Barclays’ manipulation of LIBOR and JPMorgan Chase Inc.’s loss on credit derivatives with Pimm Fox on Bloomberg TV’s “Taking Stock” Read More ⇒

18 June, 2012

Asset managers looking to jack up returns and get an edge with investment consultants might consider joining the pack of firms on the hunt for a chief risk officer. The role, which first gained significant attention after the financial crisis in 2008, has grown further in prevalence. Read More ⇒

01 June, 2012

If there is any doubt that risk managment expertise is a hot commodity, then a visit with Samuel Won will dispel it in a hurry. Won is managing director of Global Risk Management Advisors, a firm he founded in 2010 after more than 20 years in risk managment, capital markets Read More ⇒

07 May, 2012

If the financial turmoil of the last few years has taught investors anything, it’s that properly understanding and managing the risk in their portfolios is more important than ever. Read More ⇒

06 March, 2012

Sam Won talks about the outlook for the U.S. stock market with Pimm Fox on Bloomberg TV’s “Taking Stock” Read More ⇒

28 February, 2012

SEI's recently released fifth annual global survey of institutional hedge fund investors, The Shifting Hedge Fund Landscape, shines a spotlight of attention on the subject of risk management; both how it is being carried out and how it is being communicated. Read More ⇒

15 February, 2012

Sam Won discusses efforts by hedge fund managers to generate greater returns in 2012 with Pimm Fox on Bloomberg TV’s “Taking Stock” Read More ⇒

26 January, 2012

In October 2011, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) adopted the much-anticipated final rule for Form PF, which requires reporting of risk measurement information by registered investment advisers regarding the private funds they manage. Read More ⇒

14 November, 2011

If you are going to try to raise capital from institutional investors or seeders this year or next, you only get one chance to make your first impression. You need to meet the institutional-quality litmus test about risk management from the start. Read More ⇒

07 November, 2011

Knowing what your market exposure is (e.g., long, short, gross and net) does not mean that you know what your risk exposure is. Read More ⇒

01 November, 2011

Sam Won, founder and managing director of Global Risk Management Advisors, Inc., spoke at HedgeWorld’s Oct. 26 Fall Fund Services Conference on how recent events at UBS and market volatility have combined to give investors fresh reasons to focus on risk management at hedge funds. Read More ⇒

01 November, 2011

Unfortunately, the third quarter has made your life tougher for both managing your portfolio and for raising assets. There are two reasons why: UBS and market volatility. Read More ⇒

17 March, 2011

Today, investors now demand that their investment advisors focus much more of their attention and resources on risk management considerations and issues related to their investment approach, selections and decisions related to their clients’ investment portfolios. In addition, new regulations stemming from financial reforms after the financial tsunamis of 2007 – 2008 will likely include more requirements regarding risk management, risk transparency and fiduciary responsibilities for asset managers and investment advisors. Read More ⇒

01 March, 2010

Endless debate over the factors that contributed to the financial tsunamis of 2007 and 2008 will persist for years to come. However, one cause seemingly brings no disagreement: most, if not all, of the major financial failures during this period were, at their core, failures in risk management. Read More ⇒

Speaking Engagements by GRMA’s Principals:

      • March 6, 2018 — Liquidity Risk Management and N-PORT Briefing (Harvard Club, New York, NY)
        Hosted By: Global Risk Management Advisors, Sidley Austin & StatPro


      • November 17, 2017 — American Bar Association, Institutional Investors Committee Meeting (Ritz Carlton, Washington DC)
        Speaking Topic: “Current Issues on Counterparty Risks


      • November 14-15, 2017 — The Private Investment Fund Due Diligence & Safeguarding Summit (Princeton Club, New York, NY)
        Speaking Topic: “Perspectives on Evaluating a Fund’s Overall Risk


      • July 21, 2017 — 11th Annual Alternative Investment Consultants Summit (Stamford, CT)
        Speaking Topic: “Risk-based Asset Management Strategies for Maximizing Performance


      • July 20, 2017 — 11th Annual Alternative Investment Consultants Summit (Stamford, CT)
        Speaking Topic: “Risk-based Asset Management Strategies for Maximizing Performance


      • May 24, 2017 — Alternative Investment Conference (Charlottesville, VA)
        Speaking Topic: “Latest Trends in the Alternative Investment Industry and Policy Outlooks from Capitol Hill


      • February 23, 2017 — Investment Management Institute, 3rd Annual OCIO Outsourcing Solutions Conference (Stamford, CT)
        Speaking Topic: “Why OCIO providers are developing Delegated Investment Solutions Teams


      • October 5, 2016 — iGlobal Forum, Navigating Alternative Direct & Co-Investing Strategies (New York, NY)
        Speaking Topic: Key Strategic Considerations and Best Practices for a Successful Direct Investing Program”


      • September 18-20, 2016 — Investment Management Institute, Fall 2016 Consultants Retreat (Newport, RI)
        Speaking Topic: “Client Reporting Systems — the Life Blood of Client Retention


      • June 27-28, 2016 — Financial Research Associates Conference, Manager Selection, Due Diligence and Oversight (New York, NY)
        Speaking Topic: Aggregated Risk Information: Is it possible for investors to achieve a “dashboard” view of their exposure to investment risk?”


      • June 15-16, 2016 — Capital Introductions East Conference (New York, NY)
        Speaking Topic: “Institutional-Quality Litmus Test–What is Needed to Raise Capital in 2016”


      • March 13-15, 2016 — Investment Management Institute, Alternative Investments Forum (Miami, FL)
        Speaking Topic: “Alternatives to Emerging Markets–Key Risk Management Considerations”


      • March 2, 2016 — Co-Investment Summit 2016
        Speaking Topic: “Regulatory Developments and Risk and Return of Co-Investing”
        Luncheon Workshop: “Navigating Alternative Direct Investing Strategies”


      • February 25, 2016 — Alternative Investment Consultant Summit
        Speaking Topic: “Redefining Operational Risk Management”


      • February 1, 2016 — The Family Office Association Winter Retreat (Miami)
        Speaking Topic: “Institutional Quality Risk Management for Family Offices: Governance, Processes and Controls”


      • November 12, 2015 — Risk Magazine Webcast
        Speaking Topic: “Addressing the Shortcomings of Current Multi-Asset Class Risk Analytics across the Buy Side”


      • November 9-10, 2015 — Financial Research Associates
        Speaking Topic: “Manager Selection and Due Diligence for Institutional Investors”


      • October 28-30, 2015 — Alternative Asset’s Summit
        Speaking Topic: ” Institutionalizing the Hedge Fund Industry – What Institutional Intermediaries are Looking for with Alternatives”


      • October 13, 2015 — Axioma Quant Forum
        Speaking Topic: “The Risk of Liquidity Black Holes”


      • October 4-6, 2015 — Investment Management Institute: Hospital and Healthcare Services Forum
        Speaking Topic: “Real Asset Opportunities”


      • September 28-29, 2015 — Financial Research Associates
        Speaking Topic: “Co-Investing Fall Summit”


      • September 24-25, 2015 — Financial Research Associates
        Speaking Topic: “Hedge Fund Due Diligence Master Class “Going Beyond Operational Risk””


      • September 1, 2015 — Private Asset Management Magazine Breakfast Briefing
        Speaking Topic: “The Challenges Faced By Increased Client Reporting Demands”


      • July 9, 2015 — Alternative Investment Consultants Summit
        Speaking Topic: “How to Utilize Risk Management so that it is Actionable for Screening and Managing Alternative Investments”


      • July 8, 2015 — RiskHedge New York Conference
        Speaking Topic:  “Macroprudential Regulation”


      • April 27-28, 2015 — Co-Investing 2015 (Private Equity and Direct Investing)
        Speaking Topic: “What Do You Need to Know Before Jumping In? Due Diligence for Direct and Co-Investments”


      • December 10, 2014 — Webinar presented by GRMA, Dechert and Confluence
        Speaking Topic: “AIFMD for US Managers Staying Compliant or Staying Exempt”  (New York, NY)


      • September 24, 2014 — Investment Management Institute’s Consultants Retreat
        Speaking Topic: “The Importance of Formal Risk Management for Consultants, Outsourced CIOs and their Clients”  (Newport, RI)


      • September 23, 2014 — The Private Investment Funds Due Diligence Summit
        Speaking Topic: “The Rise of Direct Investments and the Future of Funds for Private Equity Investing”  (New York, NY)


      • May 14, 2014 — FINCAD Panel Discussion
        Speaking Topic: “A Unified View of Risk and Other Buy Side Quests” (New York, NY)


      • March 24 – 25, 2014 — Investment Outsourcing Strategy Summit
        Speaking Topic: “Best Practices of the Fiduciary Responsibilities of the Board” (Boston, MA)


      • March 17 – 18, 2014 — PRMIA Training Course – Beyond Risk Measurement
        Move your organization from one that simply measures risk into one that uses risk management as an integral part of running all important aspects of your business (Toronto, ON)


      • December 10, 2013 — Convergence LLC Breakfast Roundtable
        Speaking Topic: “Optimizing Middle and Back Office Performance” (New York, NY)


      • November 26, 2013 — Thomson Reuters Datawatch Webinar
        Speaking Topic: “Manage Your Firm’s Risk With the Right Tools” (New York, NY)


      • October 22, 2013 — AIFMD seminar sponsored by Citi Prime Finance, Seward & Kissel LLP, and Global Risk Management Advisors
        Speaking Topic: “AIFMD Implementation for US Managers–the Latest Important Developments” (New York, NY)


      • October 8, 2013 — FinCAD Breakfast Briefing
        Speaking Topic: “In-depth discussion of operational and infrastructure challenges for hedge funds from SEC registration, Form PF and other regulatory initiatives” (New York, NY)


      • July 18, 2013 — 7th Annual Summer Alternative Investment Consultant Summit
        Speaking Topic: “Risk-Based Asset Allocation: Myths and Realities” (New York, NY)


      • June 20 – 21, 2013 — Operational Due Diligence on Alternative Investments 2nd Annual Conference for Endowments & Foundations
        Speaking Topic: “How to Get a Handle on Risk Management for Your Portfolio” (New York, NY)


      • June 5, 2013 — Foundation for Accounting Education 2013 Conference
        Speaking Topic: “Why Funds Continue to Struggle with Form PF” (New York, NY)


      • May 7, 2013 — OCIO Solutions Forum
        Speaking Topic: “Risk Management – Making a Change” (Philadelphia, PA)



      • March 13, 2013 — Investment Management Institute’s Outsourced Chief Investment Officer Forum
        Speaking Topic: “Risk Management for Pension Funds, Endowments, Foundations and Family Offices – Making a Difference”  (Greenwich, CT)


      • November 14, 2012 — PRMIA Event Series on Hedge Funds
        Speaking Topic:“Hedge Fund Governance”  (New York, NY)


      • November 8, 2012 — Investment Management Institute’s Endowments & Foundations Solutions Forum
        Speaking Topic: “Risk Management and Fiduciary Risk for Endowments, Pensions and Family Offices” (Greenwich, CT)


      • October 18, 2012 — Form PF seminar sponsored by Sidley Austin, Citi Prime Finance, Imagine Software and Global Risk Management Advisors
        Speaking Topic: “Lessons Learned and Not Learned From the August 2012 Initial Form PF Filing” (Greenwich, CT)


      • October 11, 2012 — Form PF seminar sponsored by Sidley Austin, Citi Prime Finance, Imagine Software and Global Risk Management Advisors
        Speaking Topic: “Lessons Learned and Not Learned From the August 2012 Initial Form PF Filing”  (New York, NY)


      • September 19, 2012 — HedgeWorld’s New York 2012 Conference: “Connecting Managers With Investors And The Markets”
        Speaking Topic: “Possible Market Outcomes of the November Election”  (New York, NY)


      • July 31, 2012 — Form PF seminar sponsored by Sidley Austin, Deloitte Touche, Citi Prime Finance, Blue River Partners, Viteos, and Global Risk Management Advisors
        Speaking Topic: “Form PF – Overcoming the Challenges and Understanding the Ramifications” (Boston, MA)


      • July 23, 2012 — Form PF seminar sponsored by Sidley Austin, Deloitte Touche, Blue River Partners, Viteos, and Global Risk Management Advisors
        Speaking Topic: “Form PF – Overcoming the Challenges and Understanding the Ramifications” (Chicago, IL)


      • July 17, 2012 — Financial Research Associates, Opportunities in Direct Private Equity Investing
        Speaking Topic: “Risk Management’s Role in Direct PE Investing” (New York, NY)


      • June 13, 2012 — Investment Management Institute, Family Office Forum
        Speaking Topic: “Challenges of Risk Management for Family Offices” (Greenwich, CT)


      • June 13, 2012 — Form PF seminar sponsored by Sidley Austin, Deloitte Touche, Citi, Blue River Partners, Viteos, LineData and Global Risk Management Advisors
        Speaking Topic: “Form PF – Overcoming the Challenges and Understanding the Ramifications” (Greenwich, CT)


      • May 31, 2012 — 11th Annual Canada Cup of Investment Management
        Speaking Topic: “Tradeoff and Return in Downside Risk Management” (Toronto, Canada)


      • May 24, 2012 — Form PF seminar sponsored by Dechert LLP, Citi Prime Finance and Global Risk Management Advisors
        Speaking Topic: “Form PF: Legal, Compliance and Operational Issues for Advisors” (New York, NY)


      • May 1, 2012 — Investment Management Institute, Endowments & Foundations Solutions Forum
        Speaking Topic: “Risk Management –Making a Change” (Philadelphia, PA)


      • March 28, 2012 — Form PF Roundtable sponsored by Akin Gump, Price Waterhouse, Citi, Blue River Partners, LineData and Global Risk Management Advisors
        Speaking Topic: “Operational Challenges and Investor and Regulatory Ramifications Arising from Form PF” (Dallas, Texas)


      • December 13, 2011 — The Professional Risk Manager International Association’s (“PRMIA”), Risk Year in Review 2011
        Speaking Topic: “Innovation in Risk Management,” (New York, NY)


      • October 26, 2011 — Reuters Hedgeworld Conference
        Speaking Topic: “Market Volatility and the Spotlight on Hedge Fund Risk Management” (New York, NY)


      • September 22, 2011 — Global Alpha Forum
        Speaking Topic: “Risk Based Approach to Asset Allocation,” (Greenwich, CT)


      • May 6, 2011 — May Professional Risk Managers International Association (PRMIA), Chief Risk Officer’s Summit (New York, NY)


      • May 3 – 4, 2011 — CFA Institute, 2011 Annual Wealth Management Conference (Toronto, Canada)


      • April 12, 2011 — US Trust, Family Office Event (Phoenix, AZ)


      • January 27, 2011 — Investment Management Institute, Alternative Investment Conference (Old Greenwich, CT)


      • January 10, 2011 — American Institute of Certified Public Accountants (AICPA), Investment Advisors Annual Conference (Las Vegas, NV)


      • December 7, 2010 — Investment Management Institute, Wealthy Family/Family Office Forum (Greenwich, CT)


      • November 17, 2010 — PRMIA, Chief Risk Officer’s Summit (New York, NY)


      • May 13, 2010 — Managed Funds Association (MFA), Southern California Investment Funds Roundtable (Beverly Hills, CA)


      • July 21, 2010 — Investment Management Institute, 5th Annual Alternative Investment Consultants Summit (Old Greenwich, CT)


      • July 15, 2010 — Family Office Association, Summer Global Summit (Greenwich, CT)


      • April 28, 2009 — Reuters, PRMIA and Goldman Sachs, “How Is Risk Being Managed in the Current Environment?”, Chief Risk Officers Summit (New York, NY)


      • April 2, 2009 — PRMIA – Board of Directors and Chief Risk Officers Group, “Effective Communication of Risk to the Board,” PRMIA and BDCRO (North America Gathering) (New York, NY)


      • March 19, 2009 — Garrity Graham and PRMIA, “Given the Due Diligence and Risk Management Failures—Where are We Headed?” (Webinar)


      • February 9 – 12, 2009 — Global Association of Risk Professionals (GARP), “Operational Risk Management,” Global Risk Convention/Summit (New York, NY)


      • January 10 – 11, 2009 — IQPC, “More Efficient Investment Risk Management: Risk/Reward Management,” 2009 Hedge Fund Exchange: Senior Executives Conference (Miami, FL)
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