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Programs & Events
Event Registration - What CFA® Charterholders Need to Know About Compliance and Expert Networks
September 24, 2014
12:15 PM - 2:00 PM Eastern Daylight Time
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The presentation will cover how compliance officers at investment firms oversee their firms’ use of expert networks to ensure their investment professionals’ interactions with experts are appropriate and consistent with firm policy. Among the components of these programs are due diligence of service providers, custom compliance controls and project surveillance. The discussion will include a brief history of expert networks and the corresponding regulatory environment.
Catherine Smith is General Counsel of Guidepoint Global, LLC,
an international expert network firm that provides subject-matter expertise to its clients, including Asset Management Firms, Private Equity Firms, Consulting Firms and Corporations. Ms. Smith leads Guidepoint Global's Legal and Compliance departments.
Ms. Smith joined Guidepoint Global directly from the Securities and Exchange Commission , where she served as Senior Counsel in the Enforcement Division for over seven years, and was an inaugural member of the Enforcement Division's national Market Abuse Unit. At the SEC, Ms. Smith was responsible for all aspects of the investigation and litigation of potential violations of the federal securities laws and, on several occasions, was a recipient of the Enforcement Director's Award for her contributions to Enforcement.
Prior to her time at the SEC, Ms. Smith represented diverse clients in a wide range of complex, commercial litigation matters as a litigation associate at Cahill Gordon & Reindel LLP. Ms. Smith graduated with honors from St. John's University School of Law, where she served as Editor-in-Chief of the
St. John 's Law Review
Non- Members: $70
To register at the unemployed and student member rate of $20, please email
10 Avery Street
Boston, MA 02111
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