با برنامه Player FM !
Scott Pomfret, Best Practices in Fund Compliance (EP.05)
Manage episode 374324979 series 3492116
Scott Pomfret has seen every angle of the investment fund regulatory landscape. Scott spent 8 years as a branch chief for the SEC Division of Enforcement, leading teams investigating traditional and alternative asset managers. After a brief stint at PwC thereafter, Scott was the Chief Compliance Officer at Highfields Capital Management, a $12 billion value-oriented investment manager. Today, Scott advises private funds and vendors on regulatory, legal, and business issues.
Our conversation covers Scott’s tenure at the SEC, his transition to the private sector, and best practices for CCO’s and their firms. He discusses the relationship between compliance and investment staffs, building teams, and scaling operations. We close with Scott’s work on various boards and what might be the coolest piece of memorabilia in fund compliance circles!
Learn More
Follow Capital Allocators at @tseides or LinkedIn
Subscribe to the mailing list
Access transcript with Premium Membership
42 قسمت
Manage episode 374324979 series 3492116
Scott Pomfret has seen every angle of the investment fund regulatory landscape. Scott spent 8 years as a branch chief for the SEC Division of Enforcement, leading teams investigating traditional and alternative asset managers. After a brief stint at PwC thereafter, Scott was the Chief Compliance Officer at Highfields Capital Management, a $12 billion value-oriented investment manager. Today, Scott advises private funds and vendors on regulatory, legal, and business issues.
Our conversation covers Scott’s tenure at the SEC, his transition to the private sector, and best practices for CCO’s and their firms. He discusses the relationship between compliance and investment staffs, building teams, and scaling operations. We close with Scott’s work on various boards and what might be the coolest piece of memorabilia in fund compliance circles!
Learn More
Follow Capital Allocators at @tseides or LinkedIn
Subscribe to the mailing list
Access transcript with Premium Membership
42 قسمت
Alla avsnitt
×به Player FM خوش آمدید!
Player FM در سراسر وب را برای یافتن پادکست های با کیفیت اسکن می کند تا همین الان لذت ببرید. این بهترین برنامه ی پادکست است که در اندروید، آیفون و وب کار می کند. ثبت نام کنید تا اشتراک های شما در بین دستگاه های مختلف همگام سازی شود.