InstructorBrad Gallo
TypeOnline Course
PriceFree
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Tuition Options

myUniversity™

PracticeEdge Elite™

Standard Tuition $400 US

Senior Fellow Matthew Eisenberg, JD, Partner, Finn Dixon & Herling

This course will discuss recent examination experiences, with a focus on both the examination process and areas of regulatory focus during examinations. Lecturers include general counsel and chief compliance officers of a number of blue chip investment managers and a senior partner from a prominent investment management law firm.
Over the last few years, the asset management industry has experienced significant regulatory and structural changes. The SEC has increased its focus on the private fund industry since private equity funds and hedge funds were required to register as investment advisers pursuant to Dodd-Frank. The SEC is constantly updating its inspection strategies with respect to private funds, and the enforcement actions in both the private equity and hedge fund space focusing on conflicts of interest and disclosure creates a framework for asset managers to consider in reviewing their legal and compliance obligations.

The session will focus on compliance for private equity and hedge funds, SEC examination priorities and preparedness and managing risk. The session will highlight the following:

• Actions to be considered by private funds in connection with ongoing regulatory compliance.
• SEC focus on conflicts of interest and other SEC examination priorities
• Recent SEC speeches and areas of focus – the role of CCOs and cybersecurity
• The importance of SEC preparedness and involvement of management
• Reviewing filing obligations and annual reviews

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LEARNING OBJECTIVES

FACULTY

CREDIT INFO

ACCREDITATION

Students will master the following at the conclusion of this Course:

  • Defining and distinguishing different types of Examinations
  • Comprehend Regulatory Staff preparations for each type of Inspections or Audit
  • Identify the underlying purpose for various requests for information
  • Recognize the impact of examination and enforcement priorities
  • Effectively manage the Examination, e.g., interaction between firm personnel and Exam staff
  • Prioritize deficiencies and key elements of an effective response to the Examination Staff

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Senior Fellow:

Matthew Eisenberg, JD, Partner, Finn Dixon & Herling

 

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Accreditation Information

CLE Information

Credit Hours: 1
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information

CPE Information

Credit Hours: 2
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information

 

Course ID Number:  9601

 

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Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

Arizona: Does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. RCA programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.

New Hamphsire: The approval is for three years from recorded date.

New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.

New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.

North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.

Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.

Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.

Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.

Tennessee: The approval is for the calendar year in which the live program was presented.

Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.

If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.

If applicable, the RCA will apply for credit in your state upon request.