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2011 White Paper - Today’s Chief Compliance Officer ─ Defining the Role of Compliance in the New Normal



Breault & Smith LLC and Panegyric Marketing are joining forces on a survey and results industry white paper scheduled for release in September 2011.  Last year they produced “The Newest Capital Challenge Facing the Hedge Fund Industry: Buy or Hold?” addressing the outsourcing of human resources in the hedge fund industry.  Distributed widely among industry managers, marketers, advisors, and service providers, the paper also received coverage from industry news and information channels, including articles and summary reports in FINalternatives, Opalesque, Albourne Village, and others, resulting in an overall distribution to over 300,000 readers.

2011 Topic:                                  Today’s Chief Compliance Officer

Defining the Role of Compliance in the New Normal


Topic Summary:

There are myriad challenges facing today’s investment advisor, from growing the business, executing a strategy in the global markets, interpreting confusing political and economic signals and their impact on the investment environment, and, not least, remaining on the right side of the legal and regulatory forces, which seem determined to make the operating environment for investment managers murkier than ever. 

The news is filled with stories of those who have either strayed to the wrong side of this legal tightrope, or have inadvertently found themselves the subject of dubious inquiries into basic operating procedures.  It’s hard enough to attract money these days when a manager is doing everything right.  Let one stumble even slightly from compliance with the industry standards, and investors’ asset-raising doors will close instantly.

This paper will explore these issues and offer insights through surveying industry professionals from all perspectives: managers, regulators, and investors. 

To find out how to participate in the sponsorship of this white paper, please contact the following:


Founded in 2003, Breault & Smith LLC (B&SLLC) is a hedge fund and private equity consulting firm specializing in executive search, compensation and other consulting, and thought leadership.  The firm specializes in all positions in hedge funds, private equity and real estate.  Mr. Breault is a thought-leader and is a frequent speaker, having spoken at GAIM Asia, GAIM Cayman, GAIM Fund of Funds, European Alternative Investment Summit, Managed Funds Association and Hedge Funds Business Operational Association.  For more information, please contact:  or visit



Diane Harrison is principal and owner of Panegyric Marketing, a marketing communications firm founded in 2002 and specializing in a wide range of strategy and writing services within the alternative assets sector.  She has over 20 years’ of expertise in hedge fund marketing, investor relations, sales collateral, and a variety of thought leadership deliverables. A published author and speaker, Ms. Harrison’s work has appeared in a variety of industry publications and information channels, including:  AllAboutAlpha, FinAlternatives, International Alternative Investment Review (IAIReview), and Opalesque.  For more information, please contact: or visit