For private fund managers, recordkeeping isn’t just a regulatory requirement — it’s a way of life. Records to demonstrate the whats, whens, whys, and hows of trading, and related approvals, must be retained for years. Some records are seemingly infinite, with continuing obligations for the life of a fund (and beyond). Although recordkeeping obligations are a heavy compliance and storage burden, a well-kept archive can be your best evidence of sound trading practices in an examination - and your best defense if ever a dispute or enforcement query occurred.

On August 13, please join AIMA and K&L Gates for a webinar on recordkeeping obligations for trading practices, taking a back-to-basics look at reasonable approaches to meeting regulatory expectations on recordkeeping. We will consider best practices and consensus approaches to getting it right, avoiding the fate of those who suffered enforcement consequences for getting it very wrong.

Whether it's trade allocations, valuation decisions, stock loan details, or even timestamped proof of T+1 compliance, recordkeeping truly matters. We hope that you will join us for this important discussion. As always, attendee questions are welcome and encouraged.

Panelists:

• Lance C. Dial, Partner, K&L Gates LLP

• Suzan Rose, Senior Adviser, Government and Regulatory Affairs, AIMA