Thomas Kennedy
Chief Compliance Officer
ARDENASSET MANAGEMENT
New York, New York
Tom will present a survey of up to the minute (and in some
cases time tested) risk management techniques and applicable regulatory
requirements that drive them for managing the following counterparty
risks, with emphasis on advised or managed (fiduciary) accounts: (Lead
references – Lehman andMadoff)
Managing risks in structured products and OTC derivatives
distributed through wealth management platforms, and FX. (The "hot"
areas)
Managing Brokerage counterparty execution for equity, fixed
income and "other" types of instruments (including high level
techniques used to keep effective counterparty selection and best
execution requirements happy)
Managing sub-manager risk in products where manager or hedge fund
selection is the basis of the product which is a rapidly emerging
business, body of law, guidance, and technique.
