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Operations for
Alternatives
February 27–28, 2017 | Fontainebleau Miami Beach
Network with and learn from our
unparalleled speaker faculty, including:
Peter B. Driscoll (Invited)
Chief Risk and Strategy Officer
Office of Compliance
Inspections and Examinations
SEC
Winston M. Paes
Chief, Business and Securities
Fraud Section
U.S. Attorney’s Office, E.D.N.Y.
Alexander Wilson
Deputy Chief, Money Laundering
and Asset Forfeiture Unit
U.S. Attorney's Office, S.D.N.Y.
Jessica M. Weissman
Assistant Director –
Asset Management Unit
Division of Enforcement
SEC
Ankur Jain
Managing Partner,
Chief Operating Officer
Falchion Capital
Management
David S. Bradley, CFA, CAIA
Chief Operating Officer & CCO
Hawk Ridge Capital
Management
Gaetano T. DiPietro
Director, Client Service
Management
BlackRock
Amy Tarlowe
COO
Alpine Global Management
Adam Freedman
Chief Compliance Officer
Angelo, Gordon & Co.
Adam J. Reback
Chief Compliance Officer
J. Goldman & Co., L.P.
Charles Friedberg, CFA
President and COO
Argentem Creek Partners LP
Adrian Sales
Head of Operational
Due Diligence
Albourne America LLC
Sponsored by:
“OFA is a thoughtful conference that is
focused on engaging all participants on the
most pressing issues facing our business.”
– Christopher P. Meyering, SCIENS Capital Management
Right People, Right Time, Right Place
Strategic Partner:
ACIAmerican Conference Institute
Business Information in a Global Context
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Looking to meet and network with the key players in alternative investments?
Look no further – here is just a sample of OFA past participants:
Who Attends Operations for Alternatives brings together operations professional from hedge funds, private
equity and‘40 act funds to allow the sharing of best practices.
HEDGE FUNDS
COOs, CFOs, CROs, CCOs, GCs
PRIVATE EQUITY FUNDS
COOs, CFOs, CROs, CCOs, GCs,
Operating Partners
MUTUAL FUNDS
COOs, CFOs, CCOs, GCs
INSTITUTIONAL INVESTORS
Head of Operational Due Diligence,
CIOs, Trustees, Directors, Research
Analysts, COOs, CFOs, CROs, CCOs
FUND OF FUNDS
Heads of Operational Due Diligence,
CIOs, Directors, Research Analysts,
COOs, CFOs, CROs, CCOs, GCs
361 Capital
AAG Capital Markets LLC
ABS Investment Group
Act II Capital
Advisers Investment Trust – Carne
Alexander Alternative Capital, LLC
Alfred I. duPont Testamentary Trust
Altree Financial Group
Angel Oak Capital Advisors
Antarctica Asset Management Ltd
Appleby
AQR Capital Management LLC
Arthur Bell CPAs
Atalaya Capital Management LP
Atlantic Creek Real Estate Partners
Atrium Capital Markets Group
Atyant Capital
Barnstar Funds
Baupost Group LLC
BlackRock
Blue Shores Capital
Boston Provident
BP Capital
Brenner West Capital Partners
Breton Hill Capital Ltd
Brighton House Associates
Broad Financial
BTIG
Burdette Asset Management
Camden Capital
Canada Pension Plan Investment
Board
Capital Innovations, LLC
CarVal Investors
Castle Creek Arbitrage
Cayman Finance
Charter Bridge Capital Management
China Investment Corporation
Cipperman Compliance Services LLC
Citi Prime Finance
Claughton Capital
Clements & Co Capital Partners LLC
Concept Capital Markets LLC
Concise Capital Management, LP
Constellation Advisers LLC
Context Asset Management
COOConnect
Corporate Resolutions
Corsair Capital Management, LP
Cramer Rosenthal McGlynn, LLC
Crestline Investors, Inc.
Cross River Partners LP
Diversified Global Asset
Management
Dunbar Investment Partners
Eccles Street Asset Management
Emory Investments Management
EnTrust Capital
Ernst & Young LLP
Eurex
Everest Capital LLC
Falcone Group
Finomial
Florida BioSciences, LLC
Forman Capital LLC
Gallery Capital
Gapstow Capital Partners
Gemini Fund Services, LLC
Global Sigma Group
GlobeTax
Green Cay
Hatteras Funds
Hawk Ridge Management LLC
Herbert L. Jamison & Co., LLC
Hollis Park Partners LP
HSBC
Hunter Bay Capital
Illumination Asset Management, LLC
Indigo Tower Partners
International Asset Management
Limited, LLC
J.P.Morgan Alternative Asset Mgt., Inc.
Jordan Capital
Kawa Capital Management
KirkpatrickPrice
KLS Diversified Asset Management, LP
KPMG LLP
Kramer, Levin, Naftalis & Frankel, LLP
Lake Austin Advisors
Level One Capital Management LLC
Lighthouse Investment Partners
MA Capital Management
Marathon Asset Management
Marcum LLP
Marino Partners, LLP
Maritime Capital Partners, LP
Marto Investment Partners
Mesirow Advanced Strategies
Moody’s Investors Service
Morgan Stanley Investment
Management
Northern Trust Hedge Fund Services
OMT Capital Management, LLC
OppenheimerFunds
Pacific Alternative Asset
Management Company, LLC
Peak Capital Management
Pershing, BNY Mellon Co
Pillsbury Winthrop Shaw Pittman LLP
Platinum Partners
Press Management
Prince Street Capital Management
PwC
QuantZ Capital
Ramax Search
Rocwood Capital Management LP
Ropes & Gray LLP
Rosen Capital Advisors, LLC
Rotation Capital Management, LP
Sadis & Goldberg
Saiers Capital, LLC
Schulte Roth & Zabel LLP
Sciens Capital Management, LLC
SEC
SEI
Sentinel Growth Fund Management
Sequence Capital
Serengeti Asset Management LP
Shadmoor Advisors LLC
Sideris Capital Partners
Silver Law Group
Silvercrest Asset Management
Group LLC
South Ferry Capital Management, LP
South Street Capital Management
Sprott Asset Management, Inc.
Statim Holdings, Inc.
Strategic Value Partners, LLC
Stride Capital
Summit Rock Advisors
Swiss Re Asset Management
Tandragee Global Advisors
TBG
TeamCo Advisers, LLC
The Kolter Group LLC
Thomson Reuters
Tudor Investment Corporation
U.S. Bancorp Fund Services
UBS Alternative and Quantitative
Investments LLC
UNC Management Company
Venor Capital Management LP
Walkers Global
Walnut Grove Capital Partners, LP
Warrick Family Office
Wasserstein Debt Opportunities, LP
Wells Fargo Securities
Wilson Investment Management, LLC
York Capital Management
Funds & Investors 75%
Others 3%
Service Providers 22%
3. REGISTER NOW | 888-593-7243 | www.OFA-America.com 3
This is the event that the entire industry looks forward to
every year and that your peers will be talking about for
months afterward – make sure that you do not miss out!
Operations for Alternatives, now in its fourth year, has become the premier
event for operations and compliance professionals from hedge funds,
private equity, and ’40 Act Funds, as well as investors and regulators. No
other forum provides the mix of interactive sessions, panel discussions, keynote
addresses, and unparalleled networking opportunities that OFA 2017 will.
Featured topics:
COO Roundtable: Insights from Operations Professionals, Including
Lessons Learned in 2016, New and Emerging Best Practices, and More
The Brave New World of Cybersecurity and Data Privacy: Adapting Your
Firm to an Unpredictable and Evolving Landscape
Passive ETFs, Active ETFs, and the Alternative Investment Industry
Regulatory and Enforcement Roundtable: Perspectives, Priorities, and
Expectations
Operational Due Diligence in 2017 and Beyond: Emerging Trends, Key
Issues, and Best Practices for Managing the Process
Satisfying Regulatory and Investor Expectations Arising from Potential
Conflicts of Interest, Including Expense, Investment, and Trade
Allocations, Fiduciary Responsibility Issues, and More
Join your peers at OFA 2017 and share best practices, proven strategies,
and practical solutions for developing a top-to-bottom culture of compliance
and operational efficiencies.
We look forward to welcoming you to the Fontainebleau Miami Beach on
February 27-28!
Warmly,
The OFA 2017 Team
P.S. We are continually adding to and improving the program, so please visit
www.OFA-America.com for the latest updates regarding the program agenda and speakers.
“
”
Excellent event. The panel
content was diverse,
educational, and relevant.
Great speakers and excellent
networking opportunities.
– Brian Sapadin, GlobeTax
The topics were very relevant
to the alternatives industry.
Information on cybersecurity
was extremely helpful.
– Candi L. Hughes, Hatteras Funds
OFA is the only conference I have
been to where people actually
stay and listen to the speakers
throughout the entire event.
– Paul J. Marino, Marino Partners
Venue – Fontainebleau Miami Beach
A SPECTACULAR BLEND OF GOLDEN ERA GLAMOUR AND MODERN LUXURY
Situated on oceanfront Collins Avenue in the heart of Millionaire's Row, Fontainebleau Miami Beach
is one of the most historically and architecturally significant hotels on Miami Beach, Florida. Its iconic
design is a spectacular blend of Miami’s glamorous golden era and stylish modern luxury. A revered
Miami Beach landmark for more than half a century, Morris Lapidus’ emblematic curvilinear building
sets a new standard for business and pleasure. The 22-acre oceanfront Miami Beach hotel features
signature restaurants by award-winning chefs, two chic nightlife venues, a two-story spa, a virtually
endless poolscape, miles of pristine beach and state-of-the-art conference and event facilities.
PLEASE SEE VENUE DETAILS ON PAGE 11
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Peter B. Driscoll (Invited)
Chief Risk and Strategy Officer
Office of Compliance Inspections
and Examinations
SEC
Winston M. Paes
Chief, Business and Securities
Fraud Section
U.S. Attorney’s Office, E.D.N.Y.
Alexander Wilson
Deputy Chief, Money Laundering
and Asset Forfeiture Unit
U.S. Attorney's Office, S.D.N.Y.
Jessica M. Weissman
Assistant Director –
Asset Management Unit,
Division of Enforcement
SEC
Gaetano T. DiPietro
Director, Client Service
Management
BlackRock
Mark Varacchi
CEO
Sentinel Growth Fund
Management
Joshua Barlow
Head of Accounting &
Operational Due Diligence
PAAMCO
Charles Friedberg, CFA
President and COO
Argentem Creek Partners LP
Amy Tarlowe
COO
Alpine Global Management, LLC
Adam Freedman
Chief Compliance Officer
Angelo, Gordon & Co.
David Bradley, CFA, CAIA
COO and CCO
Hawk Ridge Partners
Ankur Jain
Managing Partner, COO
Falchion Capital Management
Adam J. Reback
Chief Compliance Officer
J. Goldman & Co., L.P.
Daniel Strachman
Co-Founder,
Operations for Alternatives,
Managing Director
A&C Advisors LLC
Adrian Sales
Head of Operational Due
Diligence
Albourne America LLC
Marc van Breda
Global Head of Operational
Due Diligence
LGT Capital Partners
Todd Cipperman
Founding Principal
CippermanComplianceServices
Brian Sapadin
Executive Director –
Hedge Fund Services
GlobeTax
Meredith Moss
CEO and Founder
Finomial
Sarah Davidoff
Partner
Ropes & Gray LLP
Brynn Rail
Counsel
Ropes & Gray LLP
Romulad Beneche, CPA
Vice President – Business
Development
Gemini Hedge
Carsten Jerrild
Director of Sales
Apex Fund Services
William Capuzzi
Chief Executive Officer
Apex Clearing
Paul J. Marino
Managing Partner
Marino Partners LLP
OFA 2017 is pleased to announce our confirmed faculty to date, specifically selected to engender
thought-provoking discussions and to provide insightful advice and practical strategies
Visit www.OFA-America.com for the latest exciting additions
to the speaker faculty.
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- When does this unit get involved?
- What are they looking for?
Key focus points, initiatives, and concerns
• New developments in trading practice enforcement
- Spoofing and layering
• SEC perspectives on the possibility of requiring investment
advisers to pay for third party compliance reviews
• DOJ priorities and enforcement trends
• FCPA and bribery issues
• Insider trading
• AML concerns
• Beneficial owners and the difficulties related to identification
of beneficial owners
• Agency perspectives on outsourcing aspects of compliance
• The use of leverage by hedge funds
10:10
Networking and Refreshment Break
10:30
The Alternative Investor: New and Emerging
Expectations, Concerns, and Investing Trends
• New areas of concern and heightened scrutiny for investors
- Red flags that will turn investors away
• Trends in investor due diligence
• How investors’expectations and requirements are changing
• Has investor tolerance for risk changed significantly?
• Are investors concerned about the sources of a fund’s assets?
• Where is the new generation of investors going to come from?
• Best practices for ensuring that investors are comfortable with
your firm
11:10 COO ROUNDTABLE
Insights from Operations Professionals, Including
Lessons Learned in 2016, New and Emerging Best
Practices, and More
• What are funds hearing from investors in terms of operations
and compliance issues?
• Chief concerns of COOs
- Regulatory issues?
- Investor pressures?
• What policies, processes, and procedures have been the most
effective and beneficial?
• Key challenges and how to overcome them
• Day-to-day activities and responsibilities of COOs and their teams
DAY ONE: Monday, February 27, 2017
7:45
Registration and Networking Breakfast
8:20
Opening Remarks from the Conference Chair
8:25 INDUSTRY OUTLOOK
Where the Alternative Investment Industry is
Headed and How That Will Impact Operations
• Impact of the election on the alternative investment industry
• Assessing the current state of the market, and what has
changed over the past year
• Near- and middle-term roadmap for where the marked is headed
• Alternative investment strategy trends – what’s working
and what’s not
- Strategies into which capital is flowing now
• How and why alternative investment operations have evolved
over time
• What will operations look like a year from now? Five years
from now?
• Evaluating the current and near-term job market for operations
professionals
• Fee trends
• Assessing when investors are willing to pay stated fees and
when to expect investors to try to renegotiate fees
8:55
Regulatory and Enforcement Roundtable:
Perspectives, Priorities, and Expectations
• Impact of the election on the regulatory and enforcement
paradigm
• Regulatory perspectives on recent compliance failures
and what the industry should take away from them
• SEC enforcement, examination, and inspection priorities and
expectations
- Cybersecurity
- Expense allocation
- Valuation methodologies, policies and procedures
- Firms that have yet to be examined
• Assessing the‘broken windows’approach to compliance and
enforcement
• SEC National Exam Analytics Tool (NEAT)
- Impact on hedge fund examinations and enforcement
initiatives
• SEC Asset Management Unit
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• Best practices and success stories for raising capital
• How smaller firms with limited resources can remain profitable
while satisfying regulators and investors
12:00
Networking Luncheon for Speakers and Attendees
1:15
Heightened SEC Scrutiny, New AML Requirements,
Insider Trading Concerns, FATCA, FCPA Compliance,
and More: Managing the Evolving Regulatory Paradigm
and Turning Compliance into a Value Proposition
• Practical advice and feedback relating to recent SEC examinations
- What questions are SEC examiners asking?
• What are the focus areas of the SEC and what are they looking for?
• FinCEN’s proposed AML regulatory requirements for alternative
investment firms
- Who is covered by the proposed rule and who is not?
- What is or will be required and expected?
- Operational and reporting requirements
- Suspicious Activity Reports (SARs)
Red flags that might signal suspicious activity
- Best practices
• Insider trading – recent enforcement actions, Salman and
its potential impact, emerging trends, and best practices for
mitigating the risks of insider trading at your firm
• FCPA and bribery issues
- Ensuring compliance
• Developing best practices for managing FATCA requirements
- Overcoming the hurdles and avoiding the pitfalls
associated with FATCA
- Applicability of FATCA to U.S. entities
• Overcoming the hurdles relating to AIFMD regulation
• Impact of increased regulatory costs on alternatives and alpha
generation
• The keys to operating a profitable and compliant alternative
investment firm
• Using a strong, comprehensive compliance program to set you
apart from your competitors and help raise capital
2:00
Operational Due Diligence in 2017 and Beyond:
Emerging Trends, Key Issues, and Best Practices
for Managing the Process
• How has ODD changed over the last year?
• Assessing the trend towards greater transparency
• Top 5 new requests from investors relating to ODD
• Key topics arising in ODD reviews
- What are the big institutional clients’concerns,
expectations, and interests?
• Addressing investor concerns relating to cybersecurity
and data privacy
• Managing investor expectations
• What are funds providing to investors and when?
• What are funds not providing to investors?
• To whom do investors have access?
• Improving the efficiency of the ODD process
• Regulatory compliance and its impact on due diligence issues
• Best practices for preparing for and responding to an ODD visit
in the current climate
- Pitfalls to avoid
• The‘bad actors’rule and its impact on diligence on investors
2:40
Networking and Refreshment Break
3:00
Satisfying Regulatory and Investor Expectations
Arising from Potential Conflicts of Interest, Including
Expense, Investment, and Trade Allocations,
Fiduciary Responsibility Issues, and More
• Fee and expense allocation
• Investment allocation
• Best practices for determining how to allocate fees and
expenses and how to allocate investment opportunities
• Trade allocations
- How trades are allocated
- Assessing the equity of trade allocations
- Identifying potential conflicts
• DOL fiduciary responsibility rule
- Impact on hedge funds
- Making the necessary adjustments to comply with the
new rule
Documentation
- What have other hedge funds done?
- Best practices relating to plans and participants covered
by the new rule
• Potential conflicts involving service providers
• Identifying and tracking potential conflicts
• Conflict disclosure
- Best practices for disclosing conflicts and potential conflicts
- Pitfalls to avoid
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3:45
New and Emerging Technologies and Their Impact
on Operations and Compliance: Blockchains,
Artificial Intelligence, and More
• Conducting comprehensive due diligence on any new
technologies that your firm is considering
- What should you be looking for?
- Asking the right questions
- Potential pitfalls
• Assessing the panoply of new and emerging technologies that
can be harnessed to assist with operations and compliance at
your firm
- Costs and benefits
• Assessing the tools and technologies that are available to assist
with complying with the new DOL Fiduciary Rule
• Understanding blockchains
• How blockchain technology will impact alternative investment
firms
- What your firm should be doing right now
• The rise of artificial intelligence in the investment community
• Automation of investment decisions
- What happens when you remove the human element?
4:20
Tax Strategies and Considerations for Alternatives
• Best practices for structuring your company in order to
minimize your tax burden
• Considerations that can impact your tax strategy
• Implications of increasingly complicated and difficult tax
processing
- Impact on operations
• FATCA issues
• Self-employment tax
• Base Erosion and Profit Shifting (BEPS)
• Tax considerations for U.S.-domiciled firms that are interested in
entering the EU marketplace
• Tax implications that arise from inversions
5:00
Conference Adjourns
Cocktail Reception hosted by:
DAY TWO: Tuesday, February 28, 2017
7:50
Networking Breakfast
8:20
Opening Remarks from the Conference Chair
8:25
The Brave New World of Cybersecurity and Data
Privacy: Adapting Your Firm to an Unpredictable and
Evolving Landscape
• Understanding the enemy: who is motivated to go after
investment management companies and what are they likely
to do?
• Realistic, implementable, and budget-conscious cybersecurity
strategies for investment management companies based on
scale and available capital
• Importance of and best practices for third-party due diligence
• Meeting the challenge of enhanced regulatory cybersecurity
standards
• Sifting through the noise emanating from government and
media outlets and determining what you really need to do to
protect your firm and your clients
• Using a risk-based and economic-based approach to
cybersecurity in order to strike the right balance for your firm
- Assessing your risk
• Incorporating lessons learned from previous cyber attacks as
well as recommendations of federal and state agencies
• Implementing sufficient testing and verification procedures
• Ensuring that your employees are an integral part of your
cybersecurity efforts
• Developing a cyber incident response plan
• Assessing the available preventive technologies and deciding
what’s best for your firm
• Cyber liability insurance considerations
9:20
Achieving Increased Efficiency, Managing Fund
Expenses, and Improving Risk Management in
Middle and Back Office Operations
• Integrating functionality across different groups, specifically
operations, compliance, and risk management, in order to
increase efficiency and reduce costs
- Cross-functionality best practices
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• New and emerging risks in the alternative investment landscape
• Using third-party data to help mitigate risk
• Service provider offerings and technologies that can assist firms
in managing multiple risks
• Specific risk types and how to minimize your firm’s exposure
to them
• Best practices for managing fund expenses
• Cost-shifting considerations
• Achieving‘operational alpha’
- Practical strategies for maximizing operational efficiency
and excellence while reducing costs
• Selection of custodians
- Determining which administrator is right for your firm
• Trends in organizational structures
• Staffing considerations
• Having a single CCO/COO versus a separate CCO and COO
• How to leverage the operations team to run multiple funds
10:10
Networking and Refreshment Break
10:30
Passive ETFs, Active ETFs, and the Alternative
Investment Industry
• Assessing the short- and near-term future of passive ETFs
• Assessing the short- and near-term future of active ETFs
• To what extent do the outlooks for passive and active ETFs
differ and why?
• Illiquid ETFs and their future (if any)
• Determining whether to incorporate ETFs into your strategy
• The ETF platform conundrum: who owns your strategy?
• ETF distribution—where is it, who has it, and how can you get it?
11:15
Outsourcing: Why Alternative Investment Firms Are
Increasingly Turning Over Compliance, Trading, and
Other Functions to Third Parties, and the Costs and
Benefits of Doing So
• Due diligence considerations
• Potential cost savings from outsourcing
• Pitfalls to avoid
• Assessing the specific costs and benefits associated with
outsourcing of key functions
- Compliance
To what degree should this be done?
Achieving the proper balance of in-house versus
outsourced compliance functions
Outsourcing the CCO function
- Trading
12:00
Networking Luncheon for Speakers and Attendees
1:15
How the Prime Brokerage Landscape is Changing
and What It Means for Alternatives
• Tracking the evolution of prime broker criteria and
requirements relating to bringing in new clients
• What is the current threshold for potential clients?
• Impact of the evolving prime brokerage model on alternative
investment firms
- How are funds dealing with their prime brokers?
- Best practices for negotiating with primer brokers
- New strategies and trends that prime brokers are seeing
- How banks are thinking about prime brokerage and
what funds should consider, given the new regulatory
environment
• How new balance sheet requirements, as well as heightened
AML and KYC oversight, are impacting banks and their
relationships with hedge funds and PE
- Financing and leveraging issues
• Cash management considerations
1:55
Networking and Refreshment Break
2:10
Assessing the Challenges Relating to Valuation and
Developing Best Practices to Overcome Them
• Overcoming the challenges associated with proper valuation
of illiquid assets
• Assuaging regulatory and investor concern relating to valuation
issues
- Ensuring adequate transparency in your firm’s valuation
procedures
• Valuation of Level 3 assets
- Assessing the assumptions and expectations on which such
valuations are based
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Thank you to our Sponsors
Thank you to our Partners
For sponsorship opportunities please contact Aaron Goldstein
A.Goldstein@OFA-America.com | 212-352-3220 ext 5260
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CONFERENCE CODE: 648L17-MIA
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12. You know the challenges:
Enhanced regulatory oversight
Increasingly stringent compliance requirements
Heightened scrutiny from investors
Escalating risks from both inside and outside your
organization
Issues arising from market and political forces
OFA COVERS IT ALL!
OFA 2017 will bring together operations and compliance
professionals from hedge funds, private equity, and ’40
Act Funds, as well as investors and regulators, to share
best practices, proven strategies, and practical solutions
for developing a top-to-bottom culture of compliance and
operational efficiencies.
OFA c/o American Conference Institute
45 West 25th Street, 11th Floor,
New York City, NY 10010
REGISTRATION CODE
B00-648-648L17.WEB
“Fantastic speakers. Great topics that were both
relevant and interesting with lots of actual examples
rather than just theory. I liked the size of the event
and the accessibility of the speakers, as well as the
all-inclusive nature of the networking events.”
– George Bashforth, Crestbridge
REGISTER NOW | 888-593-7243 | www.OFA-America.com
Operations for
Alternatives
February 27–28, 2017
Fontainebleau Miami Beach
Right People, Right Time, Right Place
