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| OCTOBER 26, 2011, THE METROPOLITAN CLUB, NYC |
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Samuel Hest
Senior Vice President
HedgeOp Compliance
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Samuel J. Hest is Senior Vice President at HedgeOp Compliance. Mr. Hest provides independent compliance and regulatory consulting to managers of hedge and private equity funds. His clients range from start-ups to large firms with well-established track records and utilize a broad array of investment styles and strategies. Mr. Hest helps managers register with the SEC, implement, administer, and test compliance programs, and prepare for and navigate SEC examinations. Mr. Hest regularly leads compliance training seminars for hedge fund personnel on critical compliance and regulatory issues, including insider trading, market manipulation, fiduciary responsibilities, and code of ethics compliance. He speaks frequently on industry panels.
Prior to joining HedgeOp, Mr. Hest was an attorney in the Investment Management Group at Schulte Roth & Zabel LLP and the Securities Regulation and Enforcement Group at Fried, Frank, Harris, Shriver & Jacobson LLP. The focus of Mr. Hest's legal practice was counseling private investment fund managers in connection with compliance policies and procedures, fund formations and operations, Securities and Exchange Commission investigations and periodic examinations, regulatory filings, and litigation risk.
Mr. Hest received a JD, with honors, from The George Washington University Law School in 2004 and a BA from Emory University in 2001. He is certified as an Investment Adviser Certified Compliance Professional (IACCPsm) by National Regulatory Service's Center for Compliance Professionals. |
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